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

Legal
18 April 2024

What HNW, Ultra-HNW Separating Couples Should Know

Divorce among HNW individuals can, from an advisor/lawyer point of view, be eaiser to manage in...

Compliance
15 April 2024

US Regulators Probe Morgan Stanley's Wealth Operations – Media

A cluster of US regulators are reportedly checking into the measures Morgan Stanley has taken to...

Compliance
12 April 2024

US Regulators Scrutinize Morgan Stanley's Wealth Client Regime – Media

A cluster of US regulators are reportedly checking into the measures Morgan Stanley has taken to...

Compliance
12 April 2024

UK Regulator Starts Woodford Enforcement Action; Reverses Research "Unbundling"

It has been a busy week for the UK regulator, with actions from the five-year-old case of fund...

Legal
11 April 2024

New Twist For UBS, Credit Suisse In Georgian Billionaire Case – Report

The case – being heard in Singapore – which has embroiled Credit Suisse for years took a new...

Compliance
10 April 2024

Compliance Corner: Dow Jones Launches AI-Powered Platform

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

Compliance
9 April 2024

Spain To Axe "Golden Visa" System – Media

In recent years, the market for so-called "golden visas" has risen, catering for a desire by HNW...

Compliance
5 April 2024

Compliance Corner: Switzerland To Revamp Rules A Year After Credit Suisse Saga – Report

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

Compliance
2 April 2024

Washington Regulators Scrutinize Big Three Asset Managers Over Bank Holdings – Report

The topic raises questions about how responsive modern financial capitalism is to the views of end...

Compliance
1 April 2024

More OECD States Turn Screws On Corruption, But Monitoring Is Uneven – Study

The Paris-based group has noted how member countries are moving to fight bribery and corruption,...

Comment & Analysis results for Compliance, Legal and Regulation

Legal
18 April 2024

What HNW, Ultra-HNW Separating Couples Should Know

Divorce among HNW individuals can, from an advisor/lawyer point of view, be eaiser to manage in...

Compliance
15 April 2024

US Regulators Probe Morgan Stanley's Wealth Operations – Media

A cluster of US regulators are reportedly checking into the measures Morgan Stanley has taken to...

Compliance
12 April 2024

US Regulators Scrutinize Morgan Stanley's Wealth Client Regime – Media

A cluster of US regulators are reportedly checking into the measures Morgan Stanley has taken to...

Compliance
12 April 2024

UK Regulator Starts Woodford Enforcement Action; Reverses Research "Unbundling"

It has been a busy week for the UK regulator, with actions from the five-year-old case of fund...

Legal
11 April 2024

New Twist For UBS, Credit Suisse In Georgian Billionaire Case – Report

The case – being heard in Singapore – which has embroiled Credit Suisse for years took a new...

Compliance
10 April 2024

Compliance Corner: Dow Jones Launches AI-Powered Platform

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

Compliance
9 April 2024

Spain To Axe "Golden Visa" System – Media

In recent years, the market for so-called "golden visas" has risen, catering for a desire by HNW...

Compliance
5 April 2024

Compliance Corner: Switzerland To Revamp Rules A Year After Credit Suisse Saga – Report

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

Compliance
2 April 2024

Washington Regulators Scrutinize Big Three Asset Managers Over Bank Holdings – Report

The topic raises questions about how responsive modern financial capitalism is to the views of end...

Compliance
1 April 2024

More OECD States Turn Screws On Corruption, But Monitoring Is Uneven – Study

The Paris-based group has noted how member countries are moving to fight bribery and corruption,...