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Comment and Analysis

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Regulation of Products

Jersey to update investment business regime

Marching in lock-step with the European Union and the International Organisation of Securities Commissions, the Jersey Financial Services Commission is updating its Code of Practice for Investment Business. ...

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Anti-Money Laundering

Back to basics: where KYC is going now

In this bright and breezy sketch on the subject of know-your-customer controls, we end by discussing a much-lauded solution for all ills: the use of machine code in financial regulation. ...

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Client Reporting

MAS urges financial advisors to design better sales forms

The Monetary Authority of Singapore has drafted up guidelines in relation to the provision of financial advisory services under the Financial Advisors Act (Cap 110). Financial advisors who operate in Singapore a...

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Anti-Corruption

FINMA wraps things up with Raiffeisen...for now

FINMA, the Swiss Financial Market Supervisory Authority, has concluded its enforcement proceedings against Raiffeisen Switzerland in relation to corporate governance issues, having decided that the private bank ...

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Client Reporting

Putting a price on valuation

Enforcement action against firms for improper valuation procedures and controls by the Autorité des Marché Financiers (AMF) is a sign of things to come – and not just in France. ...

Latest News

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Technology

FINRA to reform registration systems

According to the US Financial Regulatory Authority, which is planning to to overhaul its registration and disclosure arrangements, new software is going to reduce costs for regulated firms....

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Fines and Punishment

FINRA clamps down on Zipper

The US Financial Regulatory Authority has barred broker Bruce Martin Zipper of Miami from conducting business for three months and has also expelled his firm, Dakota Securities, from FINRA membership for not sup...

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Advice

ASIC takes Westpac to court over poor financial advice

Perhaps as a reaction to the drubbing that it has received lately at the hands of Australia's financial Royal Commission, the Australian Securities and Investments Commission has embarked on proceedings in a fed...