11/18/2020
The orders against each firm found that the firm failed to implement written policies and procedures reasonably designed to prevent violations of the Investment Advisers Act of 1940 and the rules thereunder.
11/18/2020
Ireland Update: Winds of Change for Whistleblowing
The definition of relevant wrongdoings will be broadened to include breaches of financial services regulations
11/18/2020
During this period, the supervisory authority will concentrate more on digitalisation, innovation and sustainability.
11/18/2020
Belgium’s biggest banks propose system to share suspected money laundering information
The proposal was made at a Belgian parliamentary hearing held in response to the FinCEN Files investigation.
11/18/2020
To qualify for membership, a lawyer must have no less than 10 years' experience in the active practice of probate and trust law or estate planning.
11/18/2020
These new additions mark exceptional growth for the firm which opened its doors with only a single employee, managing partner
11/17/2020
Who’s Who Legal Recognizes Global Thought Leaders
In the area of Asset Recovery, Tara Archer-Glasgow is recognized amongst the foremost asset recovery lawyers and is ranked highly thanks to her market-leading expertise in the tracing and recovering of lost, misappropriated or stolen assets.
11/17/2020
FCA, PRA and HMT publish joint statement on implementation of prudential reforms in Financial Services Bill
The FCA has published an update to its webpage on business interruption (BI) insurance to include the Supreme Court appeal hearing timetable, as well as a hand out summarising the issues, facts, procedural chronology and counsel for the appeal.
11/17/2020
HMRC’s announcement therefore prompted a concerned response from industry and representative bodies
11/16/2020
The CRS and FATCA Amendment Regulations 2020* amended the annual reporting deadline for CRS and FATCA to 31 July in each year.
11/16/2020
More than $3 Million to be Returned to Harmed Retail Investors as Part of Ongoing Risk-Based Initiative
11/16/2020
The SEC previously filed settled charges against Wells Fargo for engaging in the misconduct.
11/16/2020
The SEC has awarded more than $720 million to 113 individuals since issuing its first award in 2012.
11/16/2020
Within the corporate world, a steady focus on diversity and inclusion (D&I), manifested in policy, has become the norm.
11/16/2020
Although the return journey would involve a formal import of the yacht or aircraft in question, returned goods relief would usually be available on the return to London meaning that a person is not taxed on reimported goods into the EU, provided the condi
11/16/2020
Anti-corruption group claims ‘recurring professional misconduct’ should preclude auditor from future business
11/16/2020
Headquartered in Jersey, JTC listed on the Main Market of the LSE in March 2018
11/16/2020
The vast majority of such gold is first sold in the famous Dubai Gold Souk
11/15/2020
Cayman is expected to remain a premier global tax-neutral financial hub.
11/13/2020
ESMA has also published its third report on the use supervisory sanctions by NCAs under the Undertakings for Collective Investments in Transferrable Securities (UCITS) Directive.