It has emerged that Wall Street's regulated community had to wait for more than a year to learn that online intruders hacked the Securities and Exchange Commission's EDGAR system last summer and might have traded on the information they stole, while all the while the regulator was berating firms for bad cyber-security.
The Australian Securities and Investments Commission has released guidelines for public companies and crowd-funding platform operators to support the use of its new crowd-sourced funding regime, which commences operations on 29 September.
Compliance officers and other people whose job it is to ensure that their regulated businesses are compliant are bombarded with operational compliance issues every day. In addition to this, they have to keep abreast of regulatory and compliance-related changes that will affect both them and their organisations.
At yesterday's AFME conference in London, Mark Steward, the Financial Conduct Authority's head of enforcement and market oversight, talked about the investigations that usually precede enforcement actions. He reiterated the FCA's policy of leniency towards firms that make genuine efforts to comply with the EU's updated Markets in Financial Intruments Directive (MiFID II) on time.
Compliance officers and other people whose job it is to ensure that their regulated businesses are compliant are bombarded with operational compliance issues every day. In addition to this, they have to keep abr...
As part of its policy of improving AML controls at financial institutions, the European Union has set itself and each of its member-countries the task of producing regular reports about money-laundering and terr...
This week MLROs.com, the AML trade body, hosted a conference at the London offices of the law firm of Gordon Dadds. Delegates received a good grounding in the preventive measures required by the European Union's...
At the latest MLROs.com conference in London, hosted by David Pelled (pictured), delegates examined the European Union's General Data Protection Regulation and what it meant for compliance people at financial fi...
In 2015, when the EY Fintech Adoption Index was first published, one in seven digitally active consumers used FinTech. Today, it is one in three and regulators are playing an important part....
The Australian Securities and Investments Commission has released guidelines for public companies and crowd-funding platform operators to support the use of its new crowd-sourced funding regime, which commences ...
It has emerged that Wall Street's regulated community had to wait for more than a year to learn that online intruders hacked the Securities and Exchange Commission's EDGAR system last summer and might have trade...
At yesterday's AFME conference in London, Mark Steward, the Financial Conduct Authority's head of enforcement and market oversight, talked about the investigations that usually precede enforcement actions. He re...
In PS17/19, an all-in-one statement of policy and book of new rules, the UK's Financial Conduct Authority has responded to the European Union's new Payments Services Directive. ...
The Monetary Authority of Singapore and the Securities Commission of Malaysia have signed a co-operative agreement to foster closer co-operation between their countries on the subject of financial technology and...