News results for Compliance, Legal and Regulation

Compliance
12 August 2022

Swiss Regulator Warns EAMs, Trustees On Licensing Applications

The regulator warned that institutions that have not submitted licence applications by 30 June...

Legal
9 August 2022

New York Court Overturns Verdict Against UBS In Employee Case

The bank reportedly said it is pleased with the court's decision. A new trial is being planned.  ...

Legal
9 August 2022

New York Court Overturns Verdict Against UBS In Employee Case

The bank reportedly said it is pleased with the court's decision. A new trial is being planned. ...

Compliance
8 August 2022

Compliance Corner: BMO Financial, Japan, FINRA

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

Compliance
8 August 2022

Compliance Corner: BMO Financial, Japan

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

Compliance
2 August 2022

Compliance Corner: UK Targets Misleading Adverts

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

Compliance
1 August 2022

Compliance Corner: TradeStation, JP Morgan Securities; UBS Financial Services

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

Compliance
1 August 2022

Compliance Corner: China Reiterates Shadow Banking Concerns – Report

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

Compliance
1 August 2022

New UK Beneficial Ownership Register Goes Live, Concerns Remain

The UK's new system for holding information on those with beneficial ownership relating to property...

Compliance
26 July 2022

Compliance Corner: Hong Kong's SFC

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

Comment & Analysis results for Compliance, Legal and Regulation

Compliance
12 August 2022

Swiss Regulator Warns EAMs, Trustees On Licensing Applications

The regulator warned that institutions that have not submitted licence applications by 30 June...

Legal
9 August 2022

New York Court Overturns Verdict Against UBS In Employee Case

The bank reportedly said it is pleased with the court's decision. A new trial is being planned.  ...

Legal
9 August 2022

New York Court Overturns Verdict Against UBS In Employee Case

The bank reportedly said it is pleased with the court's decision. A new trial is being planned. ...

Compliance
8 August 2022

Compliance Corner: BMO Financial, Japan, FINRA

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

Compliance
8 August 2022

Compliance Corner: BMO Financial, Japan

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

Compliance
2 August 2022

Compliance Corner: UK Targets Misleading Adverts

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

Compliance
1 August 2022

Compliance Corner: TradeStation, JP Morgan Securities; UBS Financial Services

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

Compliance
1 August 2022

Compliance Corner: China Reiterates Shadow Banking Concerns – Report

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

Compliance
1 August 2022

New UK Beneficial Ownership Register Goes Live, Concerns Remain

The UK's new system for holding information on those with beneficial ownership relating to property...

Compliance
26 July 2022

Compliance Corner: Hong Kong's SFC

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