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Comment and Analysis

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Suitability

ESG investing - some handy tips from FINRA

There is no formal definition of an ESG (Environmental, Social and Governance-related) investing style and people often use various names, such as sustainable investing, socially responsible investing and impact...

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Regulation of Products

The licensing of family offices in Hong Kong

Family offices that intend to manage assets in Hong Kong have to be licensed, although there is no specific licensing regime for them. The rubric set out by the Securities and Futures Ordinance is based on activ...

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People Moves

News from the second line of recruitment

In the first article of the year to do with compliance recruitment, our expert describes the stepping stones that a KYC contractor can traverse to find more lucrative employment. He also looks at the part that s...

Latest News

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Jurisdiction Focus

Azerbaijan loses FIMSA

The Financial Market Supervisory Authority of Azerbaijan has ceased to be the financial regulatory authority for that country. ...

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Jurisdiction Focus

FCA returns funds to land banking victims

The UK's Financial Conduct Authority has obtained High Court approval for a scheme to return £2.5 million to compensate victims of a series of unauthorised collective investment schemes....

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Fines and Punishment

South Korean brokerage pays CFTC US$700,000 for spoofing

In a court order that is of interest to all exchange-facing wealth management firms, the US Commodity Futures Trading Commission has alleged that between December 2014 and April 2016 Daewoo Securities Co Ltd too...

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People Moves

Opposition criticises Bailey's appointment

Parliamentary questions have been asked about the wisdom of HM Treasury's appointment of Andrew Bailey, the head of the UK's Financial Services Authority, to the Governorship of the Bank of England. Debate hinge...

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Anti-Money Laundering

MLD5 comes into force in all quarters

The European Union's fifth Money Laundering Directive, which came into force on 9 July 2018, ought now to be enshrined in the laws of every country in the bloc. ...