Linda Lacewell, New York's Superintendent of Financial Services, is proposing to update the regime under which licensed virtual currency firms are allowed to place new virtual currencies on her regulatory list. This is the first step in her review of her department's less-than-successful BitLicence that came into being four years ago.
On the first day of Christmas, the industry gave to me...twelve recurring compliance problems. Unfortunately, when it comes to compliance this yuletide, British financial service firms are still committing the same errors over and over again.
The US Securities and Exchange Commission has induced Jefferies, the broker-dealership, to pay nearly $4 million to settle charges that it handled 'pre-released' American Depositary Receipts improperly.
So far, the United Kingdom's Financial Conduct Authority has not taken any enforcement action against non-observers of the European Union's second Markets in Financial Instruments Directive, despite the fact that hundreds of firms are still struggling with MiFID II transaction reporting.
On the first day of Christmas, the industry gave to me...twelve recurring compliance problems. Unfortunately, when it comes to compliance this yuletide, British financial service firms are still committing the s...
So far, the United Kingdom's Financial Conduct Authority has not taken any enforcement action against non-observers of the European Union's second Markets in Financial Instruments Directive, despite the fact tha...
The US Commodity Futures Trading Commission has published more opinions about certain requirements applicable to swap dealers, futures commission merchants and major swap participants, many of whom work for priv...
Moody's, the US credit-rating agency, has compiled a report that offers some tentative predictions for the world's asset management industry in the coming year. Regulatory considerations loom large....
The California Consumer Privacy Act 2018, the US answer to the Europea Union's General Data Protection Regulation, is to come into force on 1 January. Several exemptions have been enacted in the past few months....
Linda Lacewell, New York's Superintendent of Financial Services, is proposing to update the regime under which licensed virtual currency firms are allowed to place new virtual currencies on her regulatory list. ...
The US Securities and Exchange Commission has induced Jefferies, the broker-dealership, to pay nearly $4 million to settle charges that it handled 'pre-released' American Depositary Receipts improperly. ...
Legal & General Investment Management has announced the appointment of Camille Blackburn as chief compliance officer, subject to regulatory approval. ...
Luxembourg’s financial services regulator, the Commission de Surveillance du Secteur Financier, has granted a funds administration licence to Crestbridge, which performs administrative and managerial services ...
In 2016, the Swiss Financial Market Supervisory Authority or FINMA detected serious violations of supervisory provisions on the part of Banca della Svizzera Italiana and ordered the confiscation of SFr95 million...