News, Comment & Analysis results for Compliance, Legal and Regulation
US Regulators Scrutinize Morgan Stanley's Wealth Client Regime – Media
A cluster of US regulators are reportedly checking into the measures Morgan Stanley has taken to
New Twist For UBS, Credit Suisse In Georgian Billionaire Case – Report
The case – being heard in Singapore – which has embroiled Credit Suisse for years took a new
Washington Regulators Scrutinize Big Three Asset Managers Over Bank Holdings – Report
The topic raises questions about how responsive modern financial capitalism is to the views of end
More OECD States Turn Screws On Corruption, But Monitoring Is Uneven – Study
The Paris-based group has noted how member countries are moving to fight bribery and corruption,
Cross-Border Marketing: Do Regulators Accept “License Borrowing”?
This article demonstrates that one of the largest hurdles our alternative investment fund manager
US Settles Sanctions Case With Swiss Bank
In three episodes, the firm processed 873 securities-related transactions – totaling $30,409,488
Navigating Pension Sharing In Divorce: Legal Precedents, Guidance And Implications
Pension sharing is a common part of financial settlement in divorce. This article walks the reader
Proposed AML Changes For Advisors – What Wealth Industry Needs To Know
This article – from law firm Squire Patton Boggs – charts important new developments in the
Wealth Advisors Hit With US Anti-Competition Class Action Claims – Report
Firms including Mariner Wealth are accused of colluding to rig the hiring and recruitment market, a
A Shift From London As “Divorce Capital Of The World”?
It is unclear whether London will retain its international reputation as a place favoured for its
Comment & Analysis results for Compliance, Legal and Regulation
Credit Suisse Resolves Archegos Case
As an aside to the losses, the Archegos affair also led to calls for single-family offices to be
Credit Suisse Resolves Archegos Saga
Payments to US and UK authorities, at a total of $388 million, are to be made to draw a line under
Domestic Surrogacy Law Reform: Enough Without International Cooperation?
Domestically-focused proposals about surrogacy law in the UK are important, but can they work
UK Widens Ban On Legal Advice To Russian-Linked Business Deals
The UK's top foreign minister added, however, that the measures don't mean that Russian nationals
UK Divorce Case Ruling – When Death Intrudes: Reactions
Controversy hinges around whether a party to a marriage can pursue financial relief during, or
UBS Faces Hit From Archegos Saga – Report
In taking over Credit Suisse, UBS is shouldering a number of litigation issues that hung over the
UBS Faces Hit From Archegos Saga – Report
In taking over Credit Suisse, UBS is shouldering a number of litigation issues that hung over the
Singaporean Law Firm In Talks Over AT1 Credit Suisse Lawsuit
The legal actions by holders of Additional Tier 1 bonds – forms of capital issued by European
Credit Suisse Vows To Fight Singapore Courts' Ruling Over Billionaire – Media
The long-running court battle between the bank and the billionaire has taken a new turn in the
Credit Suisse Vows To Fight Singapore Court's Ruling Over Billionaire – Media
The long-running court battle between the bank and the billionaire has taken a new turn in the