• wblogo
  • wblogo
  • wblogo

Comment and Analysis

articleimage

Regulation of Products

TCC regulatory update: the year so far

In this, the first monthly regulatory round-up by TCC Group, the regulatory consultancy that specialises in 'transforming culture and conduct,' we evaluate the first year in the life of of the Senior Managers an...

articleimage

Anti-Corruption

How firms handle ABC risks: a global perspective

Anti-bribery and anti-corruption compliance and enforcement continues to march around the globe, despite an unpredictable political environment in the US. Kroll, the spy firm, has compiled a report on the subjec...

articleimage

Anti-Money Laundering

How to manage law enforcement enquiries: an MLRO’s advice

William Price, the group head of Ladbrokes' anti-money laundering department, gave the audience at a recent conference hosted in London by MLROs.com a good grounding in how to deal with law enforcement authoriti...

articleimage

Anti-Money Laundering

Duff & Phelps' compliance survey forecasts drastic change

The consultancy firm of Duff & Phelps has published its Global Regulatory Outlook survey of 181 executives and compliance people at banks and asset management firms for 2017. Almost nine out of ten (89%) say tha...

articleimage

Anti-Corruption

Expert view: the lessons from the Rolls Royce case

Almost five years on from the enactment of the Bribery Act in the United Kingdom, one of the great expectations of the compliance community has come to fruition. In Rolls Royce, British anti-bribery and corrupti...

Latest News

articleimage

Technology

Ullink tackles MiFID II reporting

Ullink of Eastcheap in the UK is offering financial firms a multi-asset programme to help them comply with the European Union's post-trade transparency rules when they come into force in 2018....

articleimage

Technology

Hearsay offers next-gen compliance platform

Hearsay, a provider of 'advisor cloud' IT for the financial sector, has updated its its enterprise compliance platform and is also offering predictive software that, it hopes, will help compliance officers ident...

articleimage

Anti-Money Laundering

'Global Laundromat' case reaches British banks

The London Guardian is alleging that the famous 'Global Laundromat' money-laundering scheme, which ceased operating in 2014, used British banks extensively. ...

articleimage

Anti-Corruption

Onboarding problems at ING take on criminal overtones

ING Bank is the subject of criminal investigations by Dutch authorities regarding various requirements related to the onboarding of clients, money laundering, and corrupt practices. According to one Dutch public...

articleimage

Fines and Punishment

SFC obtains court orders to halt Ponzi scheme

Hong Kong's Securities and Futures Commission has obtained an interim order from the Court of First Instance to freeze approximately $2.66 million in the bank accounts of Mr Heriberto Perez Valdes in connection ...