News, Comment & Analysis results for Compliance, Legal and Regulation
Editorial Comment: Danske's Dirty Money Settlement Shows Complacency Isn't An Option
We reflect on how, at the end of 2022, US and Danish regulators imposed a $2.06 billion settlement
Acting For Vulnerable Clients: Best Practice For Advisors
As the authors of this article say, professional advisors should have capacity and vulnerability
FTX Founder Arrested In Bahamas; US Files Charges
The stunning demise of FTX has come in what has been a difficult year for the wider cryptocurrency
FTX Founder Arrested In Bahamas; US Files Charges
The stunning demise of FTX has come in what has been a difficult year for the wider cryptocurrency
Handling Harassment: Rights, Wrongs For HNW Families
Intrusive and unwanted communication can be alarming and upsetting. If something feels wrong, it is
Compliance Corner: SEC, Goldman Sachs
The latest compliance news: regulatory developments, punishments, guidance, permissions and new
Invisible Contracts When Moving In With A Partner
Couples choosing to cohabit should consider documenting their intentions in relation to their
The FTX Collapse: The Lessons
The author of this article argues that the failures with FTX are little to do with regulation or
Bahamas Government Defends Actions Amid FTX Drama
The Caribbean jurisdiction's Attorney General has spoken in a national address about its conduct
FTX Collapse May Prompt Big Regulatory Crackdown – Lawyer
As ripples spread from the meltdown of the crypto exchange, a lawyer argues that if the business is
Comment & Analysis results for Compliance, Legal and Regulation
Chinese Creditors Reportedly Sue Evergrande Over Repyments
Lawyers are going after Evergrande, pursued by domestic Chinese investors who want repayments from
UK Watchdog Fines NatWest £264.7 Million For AML Failings
In its summary of the case, the FCA said that some of the bank’s employees, who were in charge of
French Court Upholds UBS Conviction, Slashes Penalty
The case relates to acts that ran between 2004 and 2012.
US Informs Deutsche Bank Over Possible Settlement Breach - Media
The bank and US Justice Department have reportedly declined to comment about the matter, which
US Informs Deutsche Bank Over Possible Settlement Breach - Media
The bank and US Justice Department have reportedly declined to comment about the matter, which
Wealth Managers Can't Relax As Gensler's SEC Marches On - Baird
One of the top men at Baird, the US wealth management house, recently spoke to FWR about his
The Dangers Of Pension Offsetting In Divorce
The authors of this article argue that without proper advice, pension offsetting, rather than
Ince Launches Integrated Private Wealth Offering
The business of serving private clients is becoming ever more complex, with forces such as the
Spotting The Signs: Fraudulent Trustees Post-Pandemic
This guest piece examines what defines trustee mismanagement, such as making investments outside
Reviewing Lasting Powers Of Attorney Regime - Who Benefits?
This practitioner argues that granting LPAs is often flawed and inadequate, with a lengthy
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