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Comment and Analysis

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Anti-Money Laundering

AIB’s AML fine in detail

The Central Bank of Ireland recently reached a settlement of €2,275,000 with the Allied Irish Banks group over six infringements of the anti-money laundering/terrorist financing provisions of the Criminal Justic...

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Regulation of Products

MiFID II: the FCA's perspective explained

Stephen Hanks, the man who co-ordinates the Financial Conduct Authority's ‘policy work’ on the European Union's second Markets in Financial Instruments Directive, spoke at Clearview Publishing's compliance confe...

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Advice

The future of the advice market in the UK

The advice market of the future is likely to be worlds apart from that of today as a result of the rate of regulatory change, the ever-changing demands of HNW consumers and external pressures such as political i...

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Client Data

The GDPR: what you need to know

This article looks at the ways in which the European Union's General Data Protection Regulation will reform the "subject access request" procedures that are already a feature of its data protection laws. ...

Latest News

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Fines and Punishment

Disgrace for another Chinese regulator

China's top banking regulator is under investigation for misfeasance, with the regime's Central Commission for Discipline Inspection couching its announcement in terms usually reserved for suspects of corruption...

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Fines and Punishment

FinCEN reaches settlement with former MoneyGram executive

The US Financial Crimes Enforcement Network (FinCEN) and the US Attorney’s Office for the Southern District of New York have settled claims under the Bank Secrecy Act (BSA) against Thomas Haider, the former Chie...

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Fines and Punishment

SFC suspends broker for AML failures

The Securities and Futures Commission of Hong Kong has suspended Mr Hui Lam Chiu, a former responsible officer of Guoyuan Securities Brokerage (Hong Kong) Ltd (Guoyuan), for six months until 18 November. ...

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People Moves

Bruno Frick to step down from FINMA board of directors

Bruno Frick will step down from the board of directors of Switzerland's financial regulatory body at the end of August. He has served on the board for four years and will concentrate in future on his activities ...