Newbridge Financial appoints CCO
Chris Hamblin, 15 July 2021
Newbridge Financial Services Group of Boca Raton in Florida has promoted Jennifer Dorfman to be its Chief Compliance Officer.
Newbridge Financial Services Group of Boca Raton in Florida has promoted Jennifer Dorfman to be its Chief Compliance Officer.
The UK's Financial Conduct Authority has commenced criminal proceedings against Ian James Hudson, accusing him of proffering financial advice without its permission.
The Securities and Futures Commission of Hong Kong has revoked the licence of the asset management firm of IDS Forex HK Ltd and has prohibited its former co-chief executive officers, Mr Chung Wooman and Mr Ki Bonggan, from re-entering the financial services industry for life.
The Reserve Bank of India has set up a Regulations Review Authority, initially for a period of one year, to help it de-clutter its regulations, circulars and reporting systems.
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The RegTech press has reported that regulatory technology companies worldwide improved last year on the money that they raised in 2019 - but only in the final quarter. Meanwhile, ESG-related regulatory software ...
US President Joe Biden has signed into effect the Senate and House of Representatives' joint disapproval of the Office of the Comptroller of the Currency’s 'true lender rule.' ...
The old Financial Services Authority’s fabled ‘thematic review’ of private banking took place in 2011 and has never been replicated in the UK since. If it were to happen again, would it prove that regulato...
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