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

Compliance
April 15, 2024

US Regulators Probe Morgan Stanley's Wealth Operations – Media

A cluster of US regulators are reportedly checking into the measures Morgan Stanley has taken to

Compliance
April 12, 2024

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

Compliance
April 12, 2024

UK Regulator Starts Woodford Enforcement Action; Reverses Research "Unbundling"

It has been a busy week for the UK regulator, with actions from the five-year-old case of fund

Legal
April 11, 2024

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

Compliance
April 10, 2024

Compliance Corner: Dow Jones Launches AI-Powered Platform

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

Compliance
April 9, 2024

Spain To Axe "Golden Visa" System – Media

In recent years, the market for so-called "golden visas" has risen, catering for a desire by HNW

Compliance
April 5, 2024

Compliance Corner: Switzerland To Revamp Rules A Year After Credit Suisse Saga – Report

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

Compliance
April 2, 2024

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

Compliance
April 1, 2024

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,

Compliance
March 28, 2024

Compliance Corner: UK Reinstates Private Market Investment Thresholds

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

Comment & Analysis results for Compliance, Legal and Regulation

Legal
April 11, 2024

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

Legal
March 13, 2024

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

Legal
February 27, 2024

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

Legal
February 27, 2024

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

Legal
February 13, 2024

Satoshi Identity Dispute COPA v Craig Wright – Why It Matters

The actual identity of the person assumed to have created bitcoin, the cryptocurrency, is on the

Legal
February 7, 2024

UK Ends Remote Witnessing Of Wills – The Implications

This commentary, from the private wealth arm of law firm Hugh James, examines moves by the UK

Legal
January 31, 2024

Financial Abuse: A Growing Global Problem

The wealth and private client industry has an important role to play in ensuring that elderly abuse

Legal
January 29, 2024

OPINION OF THE WEEK: When A TV Show Illuminates More Than Law School

The lessons from watching the BBC program The Traitors might have more impact than certain classes

Legal
January 29, 2024

OPINION OF THE WEEK: When A TV Show Illuminates More Than Law School

The lessons from watching the BBC programme The Traitors might have more impact than certain

Compliance
January 18, 2024

EXCLUSIVE: Finding Compliance Nuggets Amid 24/7 News Torrent

We talk to Dow Jones about the work it does in collating, screening and digesting a vast haul of