• wblogo
  • wblogo
  • wblogo

Comment and Analysis

articleimage

Regulation of Products

FCA enumerates its priorities for 2019-20

The UK's Financial Conduct Authority has published its business plan for 2019-20, outlining several initiatives that will affect wealth management firms. ...

articleimage

Advice

TCC's regulatory update for early April

This month we take you on a whistle-stop tour of the British Financial Conduct Authority’s latest preparations in the event of a 'no-deal' independence and bear welcome news about the future of the FCA Directo...

articleimage

Client Data

SFC exonerated for sharing information with Japanese FSA

The Securities and Futures Commission of Hong Kong has been been vindicated during a judicial review of its right to hand over "compelled documents" to a foreign power. Privilege against self-incrimination appli...

Latest News

articleimage

Technology

France moves towards a new regime for crypto-assets

The PACTE draft Bill (Action Plan for Business Growth and Transformation) was adopted at its final reading in the French National Assembly on 11 April. Once enacted, the law will apply to fundraising through the...

articleimage

Fines and Punishment

ADGM fines Eshara for bad reporting

The Financial Services Regulatory Authority of the Abu Dhabi Global Market has imposed financial penalties on Eshara Capital Ltd, an investment fund, and its senior executive officer Mr Alexander David Guy for b...

articleimage

Anti-Money Laundering

Abu Dhabi Global Market adds to AML rules

In accordance with Part 2 Financial Services and Markets Regulations 2015, the Financial Services Regulatory Authority of the Abu Dhabi Global Market has embarked on a modest tidying-up exercise by issuing a few...

articleimage

Anti-Money Laundering

Next-gen AML software on market

NICE Actimize, the autonomous financial crime software vendor, has put CDD-X, the next generation of its know-your-customer IT, on the market....