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Comment and Analysis

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Regulation of Products

AI and machine learning - what do regulators have in store?

Asset managers are using artificial intelligence and machine learning to augment existing processes and activities in the hope of cutting costs, being more efficient and freeing up resources. It might not be lon...

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Anti-Money Laundering

US agencies issue answers to AML FAQs

The US Financial Crimes Enforcement Network (FinCEN), together with the Federal Reserve, the Federal Deposit Insurance Corporation, the National Credit Union Administration and the Office of the Comptroller of t...

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Fines and Punishment

The SFO's guidelines for deferred prosecution agreements

Lisa Osofsky (pictured), the director of the United Kingdom's Serious Fraud Office, has an appetite for negotiating deferred prosecution agreements. In line with this, the SFO has released guidelines on the subj...

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Client Reporting

The Ellis Wilson round-up: more winter regulatory news

The year 2020 ended with a small wintry flurry of regulatory activity from the UK’s Financial Conduct Authority. The regulator did enough to remind practitioners that it was still there, but its decisions duri...

Latest News

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Regulation of Products

New York budget contains LIBOR clauses

The State of New York is introducing legislation to help its financial firms to cease to use the London Interbank Offered Rate, an interest-rate benchmark used in an estimated US$200 trillion of financial transa...

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People Moves

Biden picks senior staff at Treasury Department

The US Treasury has announced the names of new members of staff who will serve it in senior capacities. The emphasis is on 'diverse backgrounds and lived experiences.' One of the top appointees was Chief of Staf...