03/20/2020
Some AML compliance departments function reactively rather than identifying future problems and responding to them preventively or avoiding the problems altogether—with some compliance departments resembling “factories” more than agile,
03/20/2020
The investigation also shows that on several occasions, Swedbank has withheld information from the FSA, information that clearly showed how big the problems, in fact, were.
03/20/2020
How to prevent the abuse of power during a global health pandemic
03/20/2020
The FCA has set out expectations for general insurance firms and provided information for consumers about what they should see from their insurance provider during the coronavirus pandemic.
03/20/2020
ESMA continues monitoring closely the implementation by the relevant market participants as well as the impact of the relevant measures taken with regards to COVID-19 to ensure alignment of SFT reporting requirements and supervisory practices in the EU.
03/20/2020
Business owners in the private sector have become invaluable partners of contact tracing efforts through their conduct of temperature screening
03/20/2020
Report comes after two London bankers convicted in tax scheme
03/20/2020
Such has now paved the way to new measures (temperature scanning, self-assessment forms on 14 days’ previous Coronavirus at-risk contacts, dealing with on-premises reported suspicious cases) which have their consequences privacy-wise.
03/20/2020
This statement follows the announcement by the Bank of England setting out measures to respond to the economic shock from Covid-19 from its three policy committees on 11 March 2020.
03/20/2020
Jesse Norman, financial secretary to the Treasury, said many of those who had fallen victim to the additional loan charge had found themselves with "no effective remedy against that bad advice."
03/20/2020
CySEC anticipates that Regulated Entities take the necessary steps to prepare for and minimize possible business disruptions by identifying key operations risks.
03/19/2020
Those types of foreign requests can give authorities more time to investigate cases, though they may be running up against deadlines for bringing charges.
03/19/2020
The AMF said its decision was made "In the light of the outbreak of Coronavirus and its consequences on the economy and financial market in France."
03/19/2020
Now the institutes can show that they live up to the high standards of being the lifeline of the economy.
03/19/2020
The Bonn court gave both of them suspended prison terms, according to a spokesman.
03/19/2020
The requirement has been designed in such a way that banks and borrowers can agree on an exemption from the requirement given special grounds.
03/19/2020
Looking internally, the FCA has a number of targets for diversity on their senior leadership team.
03/19/2020
Suspensions can be used by managers of open-ended funds
03/19/2020
The ban applies to transactions executed both on a trading venue or over the counter.
03/19/2020
In the first written judgment on the issue delivered on 10 March 2020, Wallbank J declined to follow the recent English decisions and confirmed the availability of this relief in the BVI.