The anti-corruption campaigning group TI is now offering compliance officers and business leaders access to a free online 'tool' that aims to help them understand the complexities of anti-bribery compliance.
After a brief fanfare near the end of last month, the UK's Financial Conduct Authority has begun to devote more man-hours and software to the job of authorising asset management start-ups.
Money-laundering reporting officers and compliance officers at private banks and asset management firms find some sources of background information reliable, while others are far from trustworthy. This article looks at three of the more dubious ones.
Belize's International Financial Services Commission has imposed a six-month moratorium on the granting of new licences in trading in financial and commodity-based derivative instruments and other securities, known as 'no 7 licences.'
Money-laundering reporting officers and compliance officers at private banks and asset management firms find some sources of background information reliable, while others are far from trustworthy. This article l...
In 2015 the UK's Financial Conduct Authority came up with some suggestions (but not rules) to protect financial firms whose clients want to act against their advice from its own 'suitability' rules. The Financia...
More and more American states are passing cyber-security rules that financial service firms and institutions must obey. New York did so in March; two more states have now followed suit. ...
What are the most common regulatory errors that firms make when they are advertising products and services? Compliance officers at financial firms might find this short checklist useful. ...
Venture capital firms all over the world are investing in the regtech (regulatory technology or IT) sector in their droves. About half of the most recent regtech news, however, comes from the UK. ...
The anti-corruption campaigning group TI is now offering compliance officers and business leaders access to a free online 'tool' that aims to help them understand the complexities of anti-bribery compliance. ...
After a brief fanfare near the end of last month, the UK's Financial Conduct Authority has begun to devote more man-hours and software to the job of authorising asset management start-ups. ...
In Dubai, if a compliance officer or finance director is held to be guilty of a regulatory infraction that is not deliberate or reckless but nevertheless negligent, the regulator usually satisfies itself with is...
Belize's International Financial Services Commission has imposed a six-month moratorium on the granting of new licences in trading in financial and commodity-based derivative instruments and other securities, kn...
The US Department of the Treasury has come up with plans to streamline and reform the US regulatory system for the capital markets. One proposal is to raise the cap for crowdfuding....