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Comment and Analysis

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Regulation of Products

Compliance in the Age of the Plague - some global trends

In this article Guy Harrison, the head of Dow Jones Risk and Compliance, discusses his observations about the effects that the Coronavirus epidemic is having on regulatory compliance around the world. ...

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Anti-Money Laundering

What next for Guernsey's evolving AML landscape?

The FATF-style regional body that checks jurisdictions' anti-money-laundering (AML) regimes for signs of weakness visited Guernsey in 2016 and will do so again next year, according to its timetable. In the meant...

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Technology

RegTech - 20 minutes into the future

In this article David Clee, the CEO and co-founder of the regulatory technology firm of MirrorWeb, takes time out of a busy schedule to answer a few questions about the future of RegTech. ...

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Regulation of Products

Malaysia's new guidelines for capital market promotions

The Securities Commission of Malaysia has issued its Guidelines on Advertising for Capital Market Products and Related Services. The aim is to make things more 'flexible' for 'buy-side' capital market service pr...

Latest News

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People Moves

CPD rules relaxed in UK because of the virus

The UK's Financial Conduct Authority has made its guidelines that force financial advisors to pursue Continuing Professional Development (CPD) less onerous because of the current pandemic. ...

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Anti-Money Laundering

Ingenico helps with SCA

Ingenico Group, the digital payments software vendor, is marketing a new 'accelerator suite' which is designed to help banks' online businesses with the implementation of Strong Customer Authentication (SCA) bef...

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Fines and Punishment

Florida investment advisory firm charged with fraud

The US Securities and Exchange Commission has persuaded a federal court to appoint a receiver to wind up Floridian investment advisory firm called TCA Fund Management Group Corp, its affiliate TCA Global Credit ...