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Comment and Analysis

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Regulation of Products

The FSCS and Gibraltar: the anatomy of an unusual MOU

The British Financial Services Compensation Scheme covers some financial firms in Gibraltar and has consequently signed a memorandum of understanding with the Gibraltar Financial Services Commission. ...

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Technology

ICOs and IPOs - some observations on crypto-regulation

The similarities between an initial coin offering and an initial public offering end as soon as one looks at the regulations that govern both processes. In this witty tour through many of the things that might g...

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Jurisdiction Focus

US compliance in wealth management: the trends at-a-glance

Cipperman Compliance Services of Pennsylvania has just completed its annual 'C-suite' survey of attitudes towards compliance at US financial firms. The results betray a fell fear of regulatory scrutiny on the pa...

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Anti-Money Laundering

Time to prepare for MLD V Part II

The EU is going to revise its fourth money laundering directive by means of a fifth. In the second half of our article on the subject, we look at its 'crypto' policy, its obsession with tracing every transaction...

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Anti-Money Laundering

Time to prepare for MLD V before the ink is dry on MLD IV!

Because organised criminals and terrorist funding groups have become more sophisticated in their money laundering activities, and for other political reasons, the EU is going to revise its fourth money launderin...

Latest News

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Fines and Punishment

Court orders Blazer to pay almost $2 million

The Securities and Exchange Commission has obtained a final judgment against a financial advisor from Pittsburgh who has been accused of taking money without permission from the accounts of several professional ...

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Anti-Money Laundering

Guernsey bans two for money laundering

The Royal Court of Guernsey, with the help of the Guernsey Financial Services Authority, has banned two people who did regulated business from being directors....

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Regulation of Products

FCA opens MDP portal

The UK's Financial Conduct Authority has made its Market Data Processor (MDP) entity portal available for firms that have to obtain samples of transaction reports from it for data reconciliation purposes. ...