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Comment and Analysis

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Anti-Money Laundering

Beneficial ownership: Q&A with an academic

The idea of putting beneficial ownership in the public domain is a popular one but any country that takes such a decision should think it through, according to an academic from Australia who specialises in money...

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Anti-Money Laundering

ACAMS conference sketch: what MLROs are thinking now

Compliance Matters attended the anti-money-laundering 'event of the year' yesterday in London as guests of the Association of Certified Anti-Money-laundering Specialists or ACAMS. The hottest and most oft-discus...

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Suitability

SWM Ltd v JFSC: what it means for the regulated community

Giles Baxter (pictured), the commercial partner at the Jersey law firm of Viberts, dissects the case of SWM Limited v Jersey Financial Services Commission in which the Royal Court of Jersey has awarded a regulat...

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Regulation of Products

A panorama of FINMA's enforcement activities in 2015

The Swiss federal financial regulator concluded several major 'enforcement' cases last year and stepped up its campaign against misconduct among employees and the top management of supervised institutions. ...

Latest News

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Ex-regulator joins Withers

The wealth management law firm of Withers has hired Alix Prentice to lead the institutional advisory practice of its Financial Services Regulatory Group. ...

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Suitability

MFSA asks for feedback about COB rulebook for second time

The MFSA is consulting interested parties for the second time about its plans to publish a Conduct of Business Rulebook in which it sets out the duties of regulated persons vis-ŗ-vis their conduct towards client...