News, Comment & Analysis results for Compliance, Legal and Regulation

Compliance
November 27, 2023

Binance Saga Shows No Hiding Place For Businesses With Weak Compliance

Last week's US punishment of the crypto exchange, adding to a run of stories about problems in this

Legal
November 16, 2023

Top French Court Annuls Penalties Vs UBS In Tax Fraud Case; New Trial Expected

The Swiss bank is accused of helping wealthy clients in France evade taxes.

Compliance
November 16, 2023

Conducting KYC Tasks Isn't Getting Easier – Study

For years, technology firms have argued that their solutions can ease the pain of KYC checks on

Compliance
November 15, 2023

Compliance Corner: SEC Sets Out Busy Year For Fines, Enforcement Actions

The US regulator has been flexing its muscles on a number of fronts, affecting sectors including

Compliance
November 15, 2023

Can Rapid Account-Opening Coexist Alongside Heightened Compliance?

The approach that banks and other wealth management industry players take for handling politically

Legal
November 15, 2023

A Walk Around The World Of Prenups

This article sets out the important steps to consider for prenup agreements, their limitations and

Compliance
November 13, 2023

Corporate Beneficial Ownership Disclosure Is Getting Closer

Less than two months away, a new legal requirement on US corporates kicks in, requiring firms to

Compliance
November 13, 2023

Compliance Corner: Buckler, LPL Financial

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

Legal
November 10, 2023

Shareholder Disputes Increase: How To Manage Risks?

The authors of this article – the fourth in a series – say the present unsettled economic

Compliance
October 31, 2023

Cayman Islands, Panama Hail Removal From "Gray List"

The presence on this list, while it certainly doesn't halt financial business, can be a dampener

Comment & Analysis results for Compliance, Legal and Regulation

Legal
March 20, 2023

JP Morgan To Depose Former Executive Over Epstein Relationship – Media

The former bank executive has been caught up in legal action concerning the nature of his

Legal
March 17, 2023

JP Morgan To Depose Former Executive Over Epstein Relationship – Media

The former bank executive has been caught up in legal action concerning the nature of his

Legal
March 17, 2023

The Dangers Of Marriage For Older People

It's a hard fact that an ageing population gives rise to a variety of issues. When older people

Legal
February 17, 2023

Credit Suisse Reportedly Makes $210 Million Payout In Singapore Case

The bank has been involved in a Singapore court case with Georgian tycoon Bidzina Ivanishvili, who

Legal
February 8, 2023

Banking Dynasty Row Over Joseph Safra's Will Continues

The story highlights the rows over variation of wills and issues of cognitive decline that this

Legal
February 7, 2023

Banking Dynasty Row Over Joseph Safra's Will Continues – Media

The story highlights the rows over variation of wills and issues of cognitive decline that this

Legal
February 1, 2023

Asia-Based Law Firm Gets Name Makeover

The arrival last January of an experienced litigator in Hong Kong has led to the name change.

Legal
January 30, 2023

How Can HNW Individuals Benefit From Litigation Funding Boom?

Litigation funding is an area that can make headlines when a major court case hits the headlines.

Legal
January 18, 2023

Former Deutsche Bank Female Banker Loses Discrimination Lawsuit

The case is one of the more high-profile actions brought in recent years. It touched on issues of

Legal
January 11, 2023

Why Powers Of Attorney Matter For Healthcare, Finance

While a familiar topic for some readers, the author of this piece reminds us why advisors and