• wblogo
  • wblogo
  • wblogo

Comment and Analysis

articleimage

Regulation of Products

Jersey to update investment business regime

Marching in lock-step with the European Union and the International Organisation of Securities Commissions, the Jersey Financial Services Commission is updating its Code of Practice for Investment Business. ...

articleimage

Anti-Money Laundering

Back to basics: where KYC is going now

In this bright and breezy sketch on the subject of know-your-customer controls, we end by discussing a much-lauded solution for all ills: the use of machine code in financial regulation. ...

articleimage

Client Reporting

MAS urges financial advisors to design better sales forms

The Monetary Authority of Singapore has drafted up guidelines in relation to the provision of financial advisory services under the Financial Advisors Act (Cap 110). Financial advisors who operate in Singapore a...

articleimage

Anti-Corruption

FINMA wraps things up with Raiffeisen...for now

FINMA, the Swiss Financial Market Supervisory Authority, has concluded its enforcement proceedings against Raiffeisen Switzerland in relation to corporate governance issues, having decided that the private bank ...

Latest News

articleimage

Fines and Punishment

Merrill to pay US$42 million for misleading clients

The US Securities and Exchange Commission has charged Merrill Lynch, Pierce, Fenner & Smith with misleading customers about the ways in which it handled their orders. The bank has agreed to settle the charges b...

articleimage

Technology

FINRA to reform registration systems

According to the US Financial Regulatory Authority, which is planning to to overhaul its registration and disclosure arrangements, new software is going to reduce costs for regulated firms....

articleimage

Fines and Punishment

FINRA clamps down on Zipper

The US Financial Regulatory Authority has barred broker Bruce Martin Zipper of Miami from conducting business for three months and has also expelled his firm, Dakota Securities, from FINRA membership for not sup...