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Comment and Analysis

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Best Practice

The role of HR in the SM&CR

No doubt to the relief of overworked compliance officers, 'training and competence' or T&C is coming more and more under the purview of human resources departments at banks. HR directors, in turn, are joining th...

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Cross Border

Response to Brexit: the view of the WMA

It seems evident that once the United Kingdom leaves the European Union it will still have to abide by many of that body's directives if it wants to benefit from 'passporting' and the status of 'equivalence.' Jo...

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Suitability

Hong Kong HNW investor's mis-selling appeal unsuccessful

A Hong Kong judge has ruled that banks can tell HNW customers that off-the-shelf products are 'tailor-made' for them and not be held liable for misrepresentation. This is the latest in a long line of 'pro-bank' ...

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Cross Border

UK's compliance officers contemplate Brexit

As British voters go to the polls to say whether they want their country to leave the European Union or not, we look at a few of the issues for compliance departments....

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Technology

NYDFS's platform protocol for big banks; the details

Last year, the New York State Department of Financial Services obliged a group of big banks to sign an agreement regarding the use of a new chat and messaging platform. Such agreements are likely to become more ...

Latest News

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People Moves

New director of compliance for Elian

The fiduciary services company of Elian, which operates in a number of countries, has appointed Kristian Walton as group risk and compliance director....

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Regulation of Products

JFSC warns against unregulated investments

The Jersey Financial Services Commission (JFSC) has issued a warning against unregulated investments as part of its statutory duty to reduce the risk of financial loss to the investing public....

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People Moves

EBA to move HQ in response to Brexit

An official from the European Banking Authority has let slip that it intends to move its offices from London "not tomorrow, not in two weeks, but over the next two years." ...

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Risk Management

OSC whistleblower initiative to open shortly

The Ontario Securities Commission says that its 'whistleblower programme' will pay as much as C$5 million for inside information about financial crime from 14 July onwards....