News results for Compliance, Legal and Regulation

Legal
September 6, 2021

When HNW Individuals Take Extreme Acts Over Assets In Divorce

The author of this article examines a case pitting a diamond dealer and former wife. Given the

Compliance
September 3, 2021

Compliance Corner: SEC, $2 Billion Crypto Lawsuit

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Compliance
August 30, 2021

Compliance Corner: SEC, Digital Technology Consultation, Probe

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Compliance
August 27, 2021

Compliance Corner: SEC

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Legal
August 26, 2021

Expanding Payroll Dents LGT Profit; Operating Income, Assets Rise

A significant rise in LGT's total headcount since the start of this year meant that while operating

Legal
August 25, 2021

Ex-BSI Banker's Bid To Overturn Ban Rejected By Swiss Court

The 1MDB scandal has prompted widespread navel-gazing among global regulators and the financial

Compliance
August 25, 2021

Compliance Corner: US, Singapore, China

The latest compliance news: regulatory developments, punishments, guidance, permissions and new

Compliance
August 23, 2021

Regulators Imposed Fewer AML, KYC Punishments, But Problems Remain High - Fenergo

While some of the largest cases may have passed, and there has been a year-on-year drop in the

Compliance
August 16, 2021

Holiday Big Read - Archegos Fallout: Don't Hit Family Offices With Blanket Red Tape - Comment

One of a series of articles we are publishing and re-issuing this week during the vacation period.

Legal
August 16, 2021

August Big Read: LPAs, Capacity And Silver Splitters - The Practitioner’s Perspective

Here is another examination of government proposals to reform the LPA system and bring it into the

Comment & Analysis results for Compliance, Legal and Regulation

Legal
November 10, 2020

Julius Baer Agrees DPA, Payment To Resolve FIFA Case

The bank hopes that this deferred prosecution agreement and payment - which will be factored into

Legal
November 9, 2020

Julius Baer Agrees DPA, Payment To Resolve FIFA Case

Authorities, including those in the US, have been probing a series of corruption claims around the

Legal
October 27, 2020

Julius Baer Reportedly May Take Back Former CEOs' Bonuses

A story rumbling around the private banking sector has been re-ignited by a newspaper report

Compliance
October 27, 2020

Suspicious Activity Reports: A Reality Check

September's FinCEN leak exposed fundamental flaws in AML compliance. Add this to the risk of

Legal
October 21, 2020

Edmond De Rothschild Tight-Lipped Over Reported $100 Million Lawsuit

The case has been brought by the former head of Russian oil company Rosneft.

Legal
October 19, 2020

Finding Your Fortune - SEC's Proposal To Allow Non-Registered Finders

A legal expert examines the SEC's proposal to carve out an exemption from broker registration

Legal
October 16, 2020

Former Italian Bank's CEO, Chairman Convicted Of False Accounting - Report

The case could affect the Italian government's attempts to find a buyer or partner for the

Legal
October 14, 2020

Private Client Boutique Splits To Focus On UK Trust Market

New Quadrant Partners is passing over its non-trust advisory business to Harbottle & Lewis so that

Compliance
October 13, 2020

WEALTH TALK: Private Client Series With Kobre & Kim - A Focus On US Sanctions Against Venezuela

This is the third edition of a video series by this news service in partnership with international

Legal
October 8, 2020

UK Scores Unexplained Wealth Order Victory

The case also saw the successful deployment of both account and property freezing orders, in