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Comment and Analysis

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Technology

Regulatory uses for voice analysis - we talk to an expert

Transaction monitoring covers not only the things that people at a private bank do but also the things that they say. In this disquisition, Compliance Matters speaks to Nick Child, the head of the product adviso...

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Anti-Money Laundering

Overseas Production Orders – the facts

Law enforcement agencies in the UK will shortly have new powers to compel banks in other parts of the world to disclose the electronic data that they store....

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Cross Border

The cross-border marketing of UCITS funds

The European Union introduced its first Undertakings for the Collective Investment in Transferable Securities (UCITS) Directive in 1985 and has since augmented and amended it with other directives. In this artic...

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Jurisdiction Focus

RIP James Bedingfield

The tragic story of an Englishman who took his own life for fear of the regulatory repercussions of his actions is a sign of the times. ...

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Fines and Punishment

FCA raids nearly double in a year

The number of 'dawn raids' conducted by the UK's Financial Conduct Authority has almost doubled over a 12-month period, rising from 13 in 2017 to 25 in 2018, according to fscom, the financial services regulatory...

Latest News

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People Moves

New CCO for Sterling Bank in Nigeria

Sterling Bank plc, a full-service bank licensed by the Central Bank of Nigeria whose private banking arm offers HNWs products such as trust and fiduciary services, philanthropy management and investment advisory...

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Anti-Money Laundering

Observable money-laundering cases decline in Holy See

Vatican City's Financial Information Authority (AIF) has reported a drop in anti-money laundering cases from 544 in 2015 to 207 in 2016 to 150 in 2017 and now to 56 in 2018, according to the Papal press....

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Fines and Punishment

Upper Tribunal to hear appeals of investment advisors

A cluster of directors from investment advisory firms, along with one of the firms, are appealing against various prohibitions and fines that the UK's Financial Conduct Authority has levelled at them. The firm s...

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Technology

Fenergo obtains Dubai licence

Fenergo, the Irish regulatory IT firm, is now fully licensed by the Dubai International Financial Centre....