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Comment and Analysis

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Technology

Severity of cyber threat is increasing, says OCC

In its semi-annual risk report, issued on Friday, the US Office of the Comptroller of the Currency has warned banks that cyber threats are increasing in speed and sophistication. It is also worried about emergin...

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Regulation of Products

Conference report: PIFMA's first compliance summit

More than one hundred compliance experts attended the Personal Investment Management & Financial Advice Association's compliance conference in London, an exclusive event that covered the main issues for complian...

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Anti-Money Laundering

European super-regulators publish AML/TF guidelines

The European Banking Authority, the European Insurance and Occupational Pensions Authority and the European Securities and Markets Authority have published guidelines regarding the factors that credit and financ...

Latest News

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Fines and Punishment

SEC charges 13 over boiler room allegations

The US Securities and Exchange Commission has pressed fraud charges against 13 people allegedly involved in two Long Island-based cold-calling scams that defrauded more than one hundred victims out of more than ...

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Technology

Bank of Thailand and MAS sign fintech MoU

The Bank of Thailand and the Monetary Authority of Singapore have signed a financial IT co-operation agreement and updated an existing memorandum of understanding to do with banking supervision. ...

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People Moves

Gemini Companies hire Hourihan

Brian Hourihan, who was once senior counsel in the US Securities and Exchange Commission's division of investment management, has been appointed as regulatory compliance officer for Northern Lights Compliance Se...