News, Comment & Analysis results for Compliance, Legal and Regulation

Compliance
2 September 2025

Compliance Corner: BCP, Dubai Financial Services Authority

The latest compliance news: regulatory developments, punishments, guidance, permissions and new...

Compliance
2 September 2025

Many Firms Still Aren't Ready For UK's Fraud Prevention Regime – Dentons

The new law, introduced under 2023 legislation, is extra-territorial in its scope – so businesses...

Legal
2 September 2025

UBS Reaches $115 Million Derivatives-Related Settlement

UBS has been seeking to draw a line under a number of outstanding issues accompanying its emergency...

Legal
29 August 2025

Citigroup's Wealth Chief Dismisses Complaints Against His Conduct – Media

The bank has reportedly brought in a law firm to investigate HR complaints involving Andy Sieg, who...

Compliance
29 August 2025

UK's New Offence Of Failure To Prevent Fraud – A Guide

The new “Failure to Prevent Fraud” offence comes into force in the UK on Monday 1 September,...

Compliance
29 August 2025

Global Regulatory Fines Surge, Digital Assets A Strong Focus – Fenergo

Regulators around the world dropped the hammer more heavily on a raft of financial institutions for...

Compliance
28 August 2025

Global Regulatory Fines Surge In H1 2025 – Fenergo

Regulators around the world dropped the hammer more heavily on a raft of financial institutions for...

Compliance
26 August 2025

"Deep-Dive Due Diligence" – Onboarding HNW Clients

We talk to a specialist in the field of compliance about the challenges that institutions – not...

Compliance
26 August 2025

HSBC Reportedly Offloads More Than 1,000 Middle East Clients Amid Regulatory Clampdown

The reported removal of such clients follows actions by the Swiss Financial Market Supervisory...

Compliance
26 August 2025

KYC Screening With Open-Source Intelligence: Balancing Risk Detection, Client Privacy

This article addresses a paradox for banks and other wealth management players undertaking KYC...

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
2 September 2025

Compliance Corner: BCP, Dubai Financial Services Authority

The latest compliance news: regulatory developments, punishments, guidance, permissions and new...

Compliance
2 September 2025

Many Firms Still Aren't Ready For UK's Fraud Prevention Regime – Dentons

The new law, introduced under 2023 legislation, is extra-territorial in its scope – so businesses...

Legal
2 September 2025

UBS Reaches $115 Million Derivatives-Related Settlement

UBS has been seeking to draw a line under a number of outstanding issues accompanying its emergency...

Legal
29 August 2025

Citigroup's Wealth Chief Dismisses Complaints Against His Conduct – Media

The bank has reportedly brought in a law firm to investigate HR complaints involving Andy Sieg, who...

Compliance
29 August 2025

UK's New Offence Of Failure To Prevent Fraud – A Guide

The new “Failure to Prevent Fraud” offence comes into force in the UK on Monday 1 September,...

Compliance
29 August 2025

Global Regulatory Fines Surge, Digital Assets A Strong Focus – Fenergo

Regulators around the world dropped the hammer more heavily on a raft of financial institutions for...

Compliance
28 August 2025

Global Regulatory Fines Surge In H1 2025 – Fenergo

Regulators around the world dropped the hammer more heavily on a raft of financial institutions for...

Compliance
26 August 2025

"Deep-Dive Due Diligence" – Onboarding HNW Clients

We talk to a specialist in the field of compliance about the challenges that institutions – not...

Compliance
26 August 2025

HSBC Reportedly Offloads More Than 1,000 Middle East Clients Amid Regulatory Clampdown

The reported removal of such clients follows actions by the Swiss Financial Market Supervisory...

Compliance
26 August 2025

KYC Screening With Open-Source Intelligence: Balancing Risk Detection, Client Privacy

This article addresses a paradox for banks and other wealth management players undertaking KYC...