News results for Compliance, Legal and Regulation

Legal
January 11, 2022

Former UOB VP Jailed For $5 Million Fraud – Media

A former vice-president of Singapore's United Overseas Bank has been jailed for misappropriating

Compliance
January 10, 2022

Regulators Continue AML Breach Punishments; Fines Fell In 2021

The culmination of big fines for dirty money flows and AML lapses in 2020 meant that figures for

Legal
January 6, 2022

Tying Up A Deceased's Online Presence, What's At Stake

As online criminals become more sophisticated, it is critical that executors know how to wrap up a

Legal
January 5, 2022

Morgan Stanley Settles Lawsuit Over Privacy Failings

The story shines another light on the importance of handling clients' financial information

Legal
January 4, 2022

Morgan Stanley Settles Lawsuit Over Privacy Failings

The story shines another light on the importance of handling clients' financial information

Legal
December 23, 2021

WEALTH TALK: Focus On Keeping On Right Side Of Global Laws

In this latest video, we talk to Michael O’Kane, Senior Partner, Peters & Peters, the law firm,

Compliance
December 23, 2021

Most Advisors Don’t Disclose Fiduciary Status On Forms - That's A Big Deal

An important regulatory form known for short as CRS is designed so that broker-dealers and RIAs

Compliance
December 22, 2021

Compliance Corner: Department Of Justice, NatWest, SEC

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

Legal
December 21, 2021

UBS To Appeal French Court's Decision

The legal wrangle between the Swiss bank and French legal system continues.

Compliance
December 21, 2021

JP Morgan Unit Fined $125 Million Over "Widespread" Recordkeeping Failings

The broker-dealer subsidiary of JP Morgan has been punished for failings linked to the way in which

Comment & Analysis results for Compliance, Legal and Regulation

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

Legal
August 16, 2021

August Big Read: How Brexit Affects Legal "Forum Shopping"

HNW individuals have used the London courts for years to resolve various disputes, including

Legal
August 9, 2021

Banking Dynasty Locks Horns Over Joseph Safra's Will - Report

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

Legal
August 4, 2021

Can Lasting Powers Of Attorney "Go Digital" Safely?

The use and potential misuse of LPAs has been a subject of controversy in the private client legal

Legal
July 29, 2021

The Gates Divorce – The Trend Of Silver Separators And Avoiding Court

It seems that the Gateses will avoid a court battle, in part to avoid some of the unpleasantness of

Legal
July 27, 2021

Escape To The Country - What If Co-Parents Disagree? 

Flexible working, and the impact of the pandemic, have affected families in many ways. For

Legal
July 26, 2021

Credit Suisse Settles Spying Case With Former Senior Banker

The bank is due to issue second-quarter financial figures on Thursday.

Legal
July 21, 2021

UK Sets Out Lasting Power Of Attorney Reforms

The use and potential misuse of LPAs has been a subject of controversy in the private client legal

Legal
July 19, 2021

Brexit Won't Stem London's Divorce Business Inflows

All the legislative changes and, of course, Brexit have affected the status of London as the

Legal
July 8, 2021

Japan Wealth Management - Latest Developments

Here is an outline of important recent legal, tax and regulatory developments affecting wealth