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Comment and Analysis

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Anti-Money Laundering

Problematic sources of ‘due diligence’ for HNWIs

Money-laundering reporting officers and compliance officers at private banks and asset management firms find some sources of background information reliable, while others are far from trustworthy. This article l...

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Suitability

FOS outlines policy on insistent clients

In 2015 the UK's Financial Conduct Authority came up with some suggestions (but not rules) to protect financial firms whose clients want to act against their advice from its own 'suitability' rules. The Financia...

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Technology

Regtech Roundup

Venture capital firms all over the world are investing in the regtech (regulatory technology or IT) sector in their droves. About half of the most recent regtech news, however, comes from the UK. ...

Latest News

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Best Practice

Transparency International opens new anti-bribery portal

The anti-corruption campaigning group TI is now offering compliance officers and business leaders access to a free online 'tool' that aims to help them understand the complexities of anti-bribery compliance. ...

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Regulation of Products

FCA opens authorisation hub for business

After a brief fanfare near the end of last month, the UK's Financial Conduct Authority has begun to devote more man-hours and software to the job of authorising asset management start-ups. ...

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Fines and Punishment

Censure for FD in Dubai

In Dubai, if a compliance officer or finance director is held to be guilty of a regulatory infraction that is not deliberate or reckless but nevertheless negligent, the regulator usually satisfies itself with is...