Regulation

“The onboarding process will typically require one to two weeks,” said Sophie Gerber.

The deadline for the final phase of MAS reporting is October 1, 2021.

Information provided by three whistleblowers led the financial watchdog to open an investigation.

Like ICOs and similar crypto-related fundraisings, SPAC mania has entered the celebrity phase.

The latest amendments to the SEC’s whistleblower program came into effect in December 2020.

Making decisions based on primary-source data is an easy way to improve KYC compliance.

The country’s mega regulator joins a number of key adopters who have pledged to adhere to the code’s principles.

The law came into effect on January 11.

SEC awarded more than $100,000 to a whistleblower who provided independent analysis of publicly available material.

The regulatory authority fined LPL for failing to establish a supervisory system to meet compliance requirements.

The UK trade repository was formed in March 2019.

The Brexit deal turned out to be a poor one for the British financial services industry.

In addition to paying a fine of $2.5 million, Bloomberg units disgorged $663,000 in fees earned from Ontario-based investors.

Financial institutions will need to remain compliant after Brexit.

The move means that UK firms can qualify for time-limited relief from certain regulatory requirements.

The mass email scam appears to be from the source domain name '@invest-finra.org'.

Complacency can be dangerous, especially when it comes to compliance.

The bank accepted the censure and a fine of $75,000.

The authority imposed a penalty on Santander as the firm failed to capture 6 million emails due to a ...

Goldman would shift trading in shares of companies based in the bloc to its new Paris hub, SIGMA X ...

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