• wblogo
  • wblogo
  • wblogo

Comment and Analysis

articleimage

Anti-Money Laundering

Is the ICIJ flouting the BSA with its revelations?

The International Consortium of Investigative Journalists in Washington DC seems to have suffered no consequences so far from an unprecedented act – the printing in public of information gleaned from thousands...

articleimage

Technology

Compliance v risk - how to bridge the gap?

People who operate in the financial sector ought to bridge the gap between compliance and risk because they are effectively one and the same and have the same end-goal. This is never more obvious than in the rea...

articleimage

Anti-Money Laundering

Compliance officers and the virus: what you need to know

A new wave of Corona-centric litigation is on the horizon. Some of this is going to revolve around legislation that few last year would have connected with epidemics, especially the UK’s Proceeds of Crime Act....

articleimage

Regulation of Products

Hong Kong publishes FAQs for family offices

Following on from a circular that it issued in January, the Hong Kong Securities and Futures Commission has issued some questions and answers on the subject of the licensing obligations of family offices and mul...

Latest News

articleimage

Jurisdiction Focus

Mauritian regulator warns against Trust Meridian

The Financial Services Commission of Mauritius, the island's regulator for non-bank financial services, is warning investors of an entity called Trust Meridan which is claiming to be regulated by it, having an I...

articleimage

Fines and Punishment

FCA bans ex-jailbird CF10

The UK's Financial Conduct Authority has issued a prohibition order against a former financial advisor who doubled as a compliance overseer (CF10), banning him from finance by reason of his impropriety and unfit...

articleimage

Technology

First firms in UK to move to RegData next month

The first financial firms regulated by the UK's Financial Conduct Authority will 'migrate' from Gabriel to RegData over the weekend of 17 and 18 October and will then do all their regulatory reporting on the lat...