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.
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 article we take a panoramic view of the laws known collectively as the UCITS regime.
The Securities and Futures Commission of Hong Kong wants brokerage firms and their traders to obtain explicit consent from their clients before each client facilitation trade.
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 stands accused of breaking Principle for Business 1 and section 20 Financial Services and Markets Act 2000.
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...
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. ...
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...
The US Financial Industry Regulatory Authority levied $61.0 million in fines in 2018, spending it on capital initiatives, strategic expenditures and other activities. ...
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. ...
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....
The Securities and Futures Commission of Hong Kong wants brokerage firms and their traders to obtain explicit consent from their clients before each client facilitation trade....
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...
Fenergo, the Irish regulatory IT firm, is now fully licensed by the Dubai International Financial Centre....
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. ...