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Comment and Analysis

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Anti-Money Laundering

NYDFS fines Deutsche Bank US$150 million over Epstein

The New York Department of Financial Services has fined Deutsche Bank for its relationship with Jeffrey Epstein and entities related to him and with two dollar-clearing/correspondent banking relationships with f...

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Regulation of Products

Cold calling, advice and SIPPs - the latest FCA case

On 30 June Adam Johnson QC, sitting as a deputy judge of the English High Court, handed down a detailed and lengthy judgment in Financial Conduct Authority v Avacade Ltd (In Liquidation) and others regarding hig...

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Anti-Money Laundering

UK unveils its first Magnitsky sanctions

The UK has acquired its own Magnitsky sanctions regime, a means of ordering the freezing of assets of people whom the Government believes have committed infractions against human rights around the world. On the ...

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Anti-Money Laundering

The Fenergo interview: a compendium of tips for MLROs

What should a money-laundering reporting officer do if Hunter Biden is an applicant for business? What are the 'red flags' associated with the beneficial ownership of corporations by a HNW customer? How might th...

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Regulation of Products

MAR four years on: what has changed?

Today marks the fourth anniversary of the European Union's Market Abuse Regulation which replaced the previous Market Abuse Directive. In this article we ask a compliance expert to review its progress. ...

Latest News

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Fines and Punishment

Austria, Belgium and Holland taken to court over MLD4

The European Commission, the nearest thing that the European Union has to an executive branch, has taken three EU countries to the Court of Justice of the EU for failing to implement all the rules of the fourth ...

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Regulation of Products

UAE plans to amalgamate two regulators

The Government of the United Arab Emirates has announced that it is going to unite the Insurance Authority with the Securities and Commodities Authority to form one financial services regulator....

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Technology

Delta Capita opens KYC platform

Delta Capita, a globally active provider of financial technology or FinTech, has marketed a client lifecycle management (CLM) platform that helps firms fulfil their AML duties and know their customers. ...

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Technology

MAS publishes digital token guide

The Monetary Authority of Singapore has published its Guide to Digital Token Offerings. The contents outline the regulator's approach but are not exhaustive, have no legal effect and do not modify or supersede a...