• wblogo
  • wblogo
  • wblogo

Comment and Analysis

articleimage

Cross Border

The cross-border marketing of UCITS funds

The European Union introduced its first Undertakings for the Collective Investment in Transferable Securities (UCITS) Directive in 1985 and has since augmented and amended it with other directives. In this artic...

articleimage

Jurisdiction Focus

RIP James Bedingfield

The tragic story of an Englishman who took his own life for fear of the regulatory repercussions of his actions is a sign of the times. ...

articleimage

Fines and Punishment

FCA raids nearly double in a year

The number of 'dawn raids' conducted by the UK's Financial Conduct Authority has almost doubled over a 12-month period, rising from 13 in 2017 to 25 in 2018, according to fscom, the financial services regulatory...

articleimage

Anti-Money Laundering

FATF finds Finnish supervision wanting

Regulators and supervisors have come in for a heavy drubbing in the Financial Action Task Force's latest evaluation of Finland; the contrite FIN-FSA is promising to make amends. ...

Latest News

articleimage

Anti-Money Laundering

Observable money-laundering cases decline in Holy See

Vatican City's Financial Information Authority (AIF) has reported a drop in anti-money laundering cases from 544 in 2015 to 207 in 2016 to 150 in 2017 and now to 56 in 2018, according to the Papal press....

articleimage

Fines and Punishment

Upper Tribunal to hear appeals of investment advisors

A cluster of directors from investment advisory firms, along with one of the firms, are appealing against various prohibitions and fines that the UK's Financial Conduct Authority has levelled at them. The firm s...

articleimage

Technology

Fenergo obtains Dubai licence

Fenergo, the Irish regulatory IT firm, is now fully licensed by the Dubai International Financial Centre....

articleimage

Anti-Money Laundering

US Treasury publishes memo for OFAC compliance

The US Treasury Department has published something that it calls a 'framework' for banks to refer to when trying to comply with the sanctions regime of the Office of Foreign Assets Control. ...