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compliance

Fieldfisher

Multinational law firm expands across Italy with four new offices and 21 partners

23/06/2016(0)
Tie-up sees firm gain four new offices and 21 partners across Milan, Rome, Venice and Turin. European law firm Fieldfisher has agreed a merger with Italian law firm Studio ... Read More
ernst-and-young

Three EY firms have expanded their legal services offerings

22/06/2016(0)
Former Norton Rose Fulbright partner joins EY Law LLP in Canada to lead Business Law team New legal services practices established in Chile and Argentina Three EY firms have ... Read More
ASIC_regulator

ASIC releases report highlighting significant failures in the retail OTC derivatives industry

22/06/2016(0)
ASIC releases report highlighting significant failures in the retail OTC derivatives industry ASIC today released a report detailing the findings of a recent surveillance program and identifying some serious ... Read More
ASIC_regulator

ASIC cancels the AFS licence of TMK Index Limited

01/06/2016(0)
ASIC has cancelled the Australian financial services (AFS) licence of TMK Index Limited (AFS Licence No 314823) for failing to comply with a number of key obligations, including requirements ... Read More
ASIC_regulator

ASIC accepts enforceable undertaking from HSBC Bank Australia

17/05/2016(0)
ASIC has accepted an enforceable undertaking (EU) from HSBC Bank Australia Ltd (HSBC) that requires HSBC to review and remediate clients who received potentially deficient advice on retail structured ... Read More
ASIC_regulator

Retail OTC derivative issuer Ikon rectifies client trust accounts and improves disclosure

11/05/2016(0)
Following concerns raised by ASIC, retail over-the-counter (OTC) derivative issuer Ikon (Australia) Pty Ltd (AFSL No. 416279) (Ikon) has agreed to separate client money held in compliance with its ... Read More
fma

Craigs Investment Partners admitted that has breached the Anti-Money Laundering and Countering Financing of Terrorism Act

05/05/2016(0)
The Financial Markets Authority (FMA) has today issued a formal warning to Craigs Investment Partners Limited (Craigs) under section 80 of the Anti-Money Laundering and Countering Financing of Terrorism ... Read More
fatca

US Court Dismisses Case Against FATCA Disclosures

04/05/2016(1)
The US District Court for the Southern District of Ohio has dismissed a case brought by Senator Rand Paul (R – Kentucky) and a group of individuals, who attempted ... Read More
First-Derivatives-plc

First Derivatives and Thomson Reuters formed a Strategic Partnership for Streaming Analytics

27/04/2016(0)
FD (AIM: FDP.L, ESM: FDP.I) announces a strategic partnership for the use of its Kx technology with Thomson Reuters to power the latest version of their financial Data as ... Read More
ethien

Ethien partners with RAVN for digital delivery of ground-breaking Artificial Intelligence legal services

18/04/2016(0)
Ethien, the legal and compliance services firm, has today announced that it has partnered with RAVN Systems, experts in Artificial Intelligence and Enterprise Search technology, to improve the digital ... Read More
Broker Cyprus TopFX