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Comment and Analysis

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Suitability

SEC beset by panoply of plaintiffs over Reg BI

Seven US states and a fee-only financial planning platform are suing the US Securities and Exchange Commission for enacting an investment-advice rule that falls short of its statutory obligations and gives broke...

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Client Reporting

The effect of FIDLEG on cross-border financiers

In this article we summarise the new rules for non-Swiss financial service providers, their client advisors outside Switzerland who provide cross-border financial services for Swiss customers and non-Swiss creat...

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Regulation of Products

IOMFSA asks for more powers

The Isle of Man's financial regulator has published a discussion paper in which it says that it wants the Government to change the law to give it more powers. ...

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Technology

RegTech roundup: deals, services, trends and expectations

The Institute of International Finance has defined RegTech as the use of new IT to meet compliance and regulatory requirements more efficiently. RegTech involves the use of IT to make regulations more stringent ...

Latest News

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Technology

MFSA to licence virtual financial asset service providers

Further to the transitory provision set out in Article 62 Virtual Financial Assets Act 2018 (Chapter 590 of the Laws of Malta), any persons wishing to continue providing virtual financial asset services after th...

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Technology

ComplyAdvantage opens office in Singapore

ComplyAdvantage, the RegTech company that uses machine learning to offset the likelihood of financial crimes occurring at financial institutions, has made its first foray into the Asia-Pacific region, having alr...

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Regulation of Products

US regulators approve new version of Volcker Rule

Two US federal financial agencies - the Federal Deposit Insurance Corporation and the Office of the Comptroller of the Currency - have approved the text of a watered-down version of the so-called Volcker Rule. T...

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Client Data

Cayman Islands Data Protection Law commences 30 September

The Cayman Islands' equivalent of the European Union's General Data Protection Regulation promises individuals control over their personal data and protection against its misuse in both public and private sector...