11/20/2018

SocGen to pay $1.3 billion to settle U.S. sanctions case

“The absence of an effective, global sanctions-compliance infrastructure and lack of management oversight allowed Société Générale employees to ignore the scope and applicability of laws governing economic sanctions, as w

11/20/2018

UBS Securities pays $120,000 infringement notice

UBS purchased approximately 18 million securities over a 7-month period in relation to the buy-backs in circumstances where UBS purchased the securities other than by the matching of orders on an order book. UBS reported the transactions to ASX as ‘

11/19/2018

Understanding EU anti-money laundering law

This article highlights key aspects of the EU’s fourth and successive directives, which are an important part of Europe’s response to financial crime.

11/12/2018

Are you ready for ex-post disclosure?

The stakes couldn’t be higher: already Advisors are changing loyalties to product manufacturers who can seamlessly deliver clear ex-ante disclosure.