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Comment and Analysis

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Anti-Money Laundering

All change at Swedbank

Swedbank, Sweden's oldest and largest lender, is under investigation by regulators in the United States, Estonia and its home country regarding its involvement in money laundering. It has publicised some of its ...

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Client Reporting

PIMFA criticises ESMA over MiFID II

The implementation of the European Union's second Markets in Financial Instruments Directive by the European Securities and Markets Authority and national regulators has been a story of shifting goalposts and ba...

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Suitability

SEC beset by panoply of plaintiffs over Reg BI

Seven US states and a fee-only financial planning platform are suing the US Securities and Exchange Commission for enacting an investment-advice rule that falls short of its statutory obligations and gives broke...

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Client Reporting

The effect of FIDLEG on cross-border financiers

In this article we summarise the new rules for non-Swiss financial service providers, their client advisors outside Switzerland who provide cross-border financial services for Swiss customers and non-Swiss creat...

Latest News

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Technology

FCA urges firms to register for Connect without delay

The UK's Financial Conduct Authority is asking firms to register for its online Connect platform. They have to send it their details in the form of a mandatory annual update from January onwards, but the regulat...

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Fines and Punishment

FCA charges banker over Whatsapp message

Konstantin Vishnyak, 41, has appeared at Westminster Magistrates’ Court in relation to one count of destroying documents that he knew to be, or suspected of being, relevant to an investigation. He denies the c...

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Technology

MFSA to license virtual financial asset service providers

Further to the transitory provision set out in Article 62 Virtual Financial Assets Act 2018 (Chapter 590 of the Laws of Malta), any persons wishing to continue providing virtual financial asset services after th...

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Technology

ComplyAdvantage opens office in Singapore

ComplyAdvantage, the RegTech company that uses machine learning to offset the likelihood of financial crimes occurring at financial institutions, has made its first foray into the Asia-Pacific region, having alr...