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Latest Comment and Analysis

Compliance v risk - how to bridge the gap?

Compliance officers and the virus: what you need to know

Hong Kong publishes FAQs for family offices

AML controls at private banks: some top tips from Singapore

SEC to change definition of 'accredited investor'

FCA publishes 2019/20 report and accounts

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SFC fines Bank of East Asia HK$4.2 million for not segregating clients' accounts

FinCEN promulgates rule to extend AML programmes

Woolard to leave FCA

FCA warns of clone firm: Investec Private Banking

The FCA's business interruption test case - a partial victory

PIMFA says to the FCA: have I got views for you

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MAS imposes fine of S$1.1 million on AsiaCiti Trust for AML failures

Austria's FMA levies fine of €135,000 on Bank Winter & Co

Curalia OVV fined €50,000 for failing to tell regulator about appointing compliance officer

Digitally helpless? BaFin publishes advice in English

ASIC sues Forex Capital for unconscionable conduct and conflicted remuneration

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PIMFA says to the FCA: have I got views for you

Broker-dealer settles FINRA charges for order-flow disclosure violations

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Mauritius issues P2P lending rules

SFC suspects market manipulation and freezes broker's clients' accounts

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