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Comment and Analysis

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Risk Profiling

Regulatory pronouncements on the Coronavirus

The US Securities and Exchange Commission is warning investors about frauds involving claims that this-or-that company’s products or services will help stop the global pandemic whose cases are doubling in numb...

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Anti-Money Laundering

MLD VI: some details

The European Union's fifth Anti-Money Laundering Directive has added to the multitude of firms and people who must report their suspicions to the authorities, but it contains some ambiguities that relate to the ...

Latest News

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Regulation of Products

ESMA asks for more powers to intervene with products

Nearly all national regulators in the European Union have followed the lead of the European Securities and Markets Authority and taken steps to thwart the marketing, distribution or sale of binary options and CF...

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Technology

SEC reporting rules change

The US Securities and Exchange Commission has revised the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules. ...

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Fines and Punishment

FCA bans imprisoned IFA fraudster

The UK's Financial Conduct Authority has banned Paul Grant, a former independent financial advisor, from financial services after he was convicted of fraud....

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People Moves

GAM to appoint regulatory expert to the board

Thomas Schneider, a veteran chief auditor with deep regulatory know-how, will be proposed at the next Annual General Meeting of GAM Holding AG on 30 April for election as a new member of the board. ...