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Comment and Analysis

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Risk Management

Investment trends in an era of intense regulatory scrutiny

Compliance-related mergers and acquisitions, often reported on in our web-pages, are on the rise. Institutional investors are interested in compliance consultancies because the barriers to entry at the top end o...

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Client Data

Search warrants at banks in the UK: what you need to know

Many a CF11 money-laundering reporting officer has watched the police carry his bank's computers away in the knowledge that this will bring its business - or part of it - to a grinding halt. What can a firm do t...

Latest News

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Technology

South Korean P2P lenders to create new SRO

The peer-to-peer lending firms of South Korea have decided to set up their own self-regulatory body because legislation to create the governmental regulation they crave has stalled in Parliament....

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Anti-Money Laundering

BaFin places Deutsche's AML efforts under observation

BaFin, Germany's all-in-one financial regulator, has ordered Deutsche Bank to take appropriate internal safeguards and comply with general anti-money-laundering 'due diligence' obligations and has appointed a mo...

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Suitability

Fiduciary rule in pipeline for New Jersey

The Governor of New Jersey is ordering the New Jersey Bureau of Securities to impose a fiduciary duty on all New Jersey 'investment professionals,' requiring them to place their clients’ interests above their ow...

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People Moves

Stirewalt to become new DFSA chief

After scouring the globe for the right candidate, the board of directors of the Dubai Financial Services Authority has appointed one of its own regulators - Bryan Stirewalt - as its next chief executive. He will...