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Comment and Analysis

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Advice

Paradigm provides a handy guide to SM&CR compliance

After years of British financial advisors and discretionary fund managers talking about it and preparing for it, the Senior Managers and Certification Regime is almost here. A handy guide has been created to hel...

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Suitability

TCC's regulatory update for the end of October

This month we bring you the best bits from various regulators' speeches about the future regulatory model, improvements for standards in financial advice and what’s next for the FCA-Pensions Regulator joint st...

Latest News

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Best Practice

Conference report: the three Ps of compliance

On a panel at MetricStream's Governance, Risk and Compliance conference in London today, a panel of experts discussed the rising complexity of markets and its effect on the job of the chief compliance officer. ...

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Confidentiality

ASIC publishes guidelines for dealing with tipsters

As part of its 'corporate sector whistleblower reforms,' public companies such as banks, large proprietary companies, and proprietary companies that are trustees of registrable superannuation entities must have ...

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Fines and Punishment

Two fines for UBS

The Securities and Futures Commission of Hong Kong has publicly reprimanded and fined UBS AG HK$400 million (US$51 million), while the Monetary Authority of Singapore has imposed a civil penalty of S$11.2 millio...