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Comment and Analysis

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Best Practice

Fear: a key factor in compliance

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...

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Anti-Money Laundering

The EU's AML assessment of payments and e-money

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...

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Anti-Money Laundering

Putting MLD IV into practice: a checklist

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...

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Technology

EY FinTech report - part 2

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....

Latest News

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Regulation of Products

ASIC facilitates crowd-sourced funding by public companies

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 ...

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Technology

SEC hack rattles Wall Street's windows

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...

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Regulation of Products

Steward explains FCA's uptick in investigations

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...

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Technology

FCA's PSD2 rules emerge

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. ...

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Technology

MAS and Malaysian SC sign FinTech agreement

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...