News results for Compliance, Legal and Regulation

Jurisdiction Focus
7 May 2021

RBI on crusade to simplify regulations

The Reserve Bank of India has set up a Regulations Review Authority, initially for a period of one...

Compliance
7 May 2021

Compliance Corner: SEC, Gary Gensler

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

People Moves
6 May 2021

Laven acquires compliance consultancy

Laven Partners, the British regulatory software vendor and compliance consultancy, has bought the...

Compliance
6 May 2021

Compliance Corner: Australia's ASIC, Westpac

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

Regulation of Products
5 May 2021

FCA aims to do more to protect investors in SPACs

The UK's Financial Conduct Authority is consulting interested parties about changing its listing...

Technology
5 May 2021

Lion City regulator opens RegTech grant scheme

The Monetary Authority of Singapore has created a new system of subsidies to encourage the growth...

Compliance
5 May 2021

Compliance Corner: Monetary Authority Of Singapore

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

Advice
4 May 2021

Members of IOOF group to mend their ways

The wealth management giant IOOF has promised to take remedial action to solve some problems that...

Compliance
4 May 2021

UK Regulator Consults On SPAC Listing Regime Tweaks

A torrent of SPAC listings has taken place, particularly on Wall Street, and there are 33 estimated...

Anti-Money Laundering
3 May 2021

Compliance officers call on regulators for more AML guidance

An overwhelming majority of compliance people say that regulators are not guiding them and...

Comment & Analysis results for Compliance, Legal and Regulation

Technology
7 May 2021

Voice data, compliance and the 'new normal'

Financial service workplaces are bound to shift to more remote working in the long run. This brings...

Compliance
7 May 2021

Compliance Corner: SEC, Gary Gensler

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

Compliance
6 May 2021

Compliance Corner: Australia's ASIC, Westpac

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

Compliance
5 May 2021

Compliance Corner: Monetary Authority Of Singapore

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

Client Reporting
4 May 2021

The FCA's proposals to reform its MiFID regime for research and best execution

On 28 April, the UK's Financial Conduct Authority published consultative paper 21/9 in which it...

Regulation of Products
4 May 2021

Cadwalader's Reg-tracker for early May

Our Regulatory Tracker is a list of effective dates, comment deadlines, compliance dates and...

Compliance
4 May 2021

UK Regulator Consults On SPAC Listing Regime Tweaks

A torrent of SPAC listings has taken place, particularly on Wall Street, and there are 33 estimated...

Anti-Money Laundering
3 May 2021

The East Caribbean's top five CBI money-laundering states

Donald Trump may not know where the Caribbean is, but the new Biden Administration most certainly...

Compliance
30 April 2021

Hong Kong's Offshore Wealth Policy - An Update

Hong Kong is a large asset- and wealth-management centre and its government is determined to make...

Legal
29 April 2021

Before Lawyers Arrive, Consider The Mediation Option

The option of going for mediation can be far more useful for fractious couples and families than...