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www.eversheds-sutherland.com/global/en/what/articles/index.page?ArticleID=en/Fraud_and_financial_crime/The_Wolfsberg_Group_Publishes_Guidance_on_Sanctions_Screeninggoo.gl/tKvky1See also:www.quarles.com/publications/is-ofac-the-new-sheriff-in-town/ 0
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February 4, 2019 webmaster
Banking, Regulatory, Risk Management
www.bovill.com/dear-ceo-letter-financial-promotions/ www.finance-disputes.co.uk/2019/01/fca-warns-firms-about-misleading-financial-promotions-for-unregulated-products/#page=1 info.dechert.com/10/11757/landing-pages/united-kingdom.asp?sid=78050d84-070c-433a-8d62-e5ea8de87a03#Issue11UK1 www.fca.org.uk/news/news-stories/dear-ceo-letter-financial-promotions Update:www.dlapiperintelligence.com/investmentrules/blog/articles/2022/FCA-on-misleading-financial-promotions.html 0
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February 4, 2019 webmaster
Regulatory, UK
www.winston.com/en/crypto-law-corner/finra-issues-2019-risk-monitoring-and-examination-priorities-letter.htmlblogs.orrick.com/blockchain/sec-and-finra-confirm-digital-assets-a-2019-examination-priority/www.jdsupra.com/legalnews/finra-announces-2019-regulatory-30220/www.winston.com/en/thought-leadership/finras-2019-risk-monitoring-and-examination-priorities-letter.htmlwww.mofo.com/resources/publications/190125-finra-risk-monitoring-examination-priorities.htmlwww.finra.org/industry/2019-annual-risk-monitoring-and-examination-priorities-letterSee also:bit.ly/3gDF2Vh 0
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January 31, 2019 webmaster
Regulatory, US
Click to access fileServer.aspx 0
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January 31, 2019 webmaster
European Union, Regulatory, UK
www.jdsupra.com/legalnews/unexplained-wealth-order-comes-to-10741/ 0
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January 30, 2019 webmaster
Money Laundring, Regulatory, Singapore
www.cms-lawnow.com/ealerts/2019/01/brexit-financial-institutions-wishing-to-continue-doing-business-in-the-uk?cc_lang=enSee also:goo.gl/FfHt3wgoo.gl/jujazMgoo.gl/sux2mjgoo.gl/gRszTX 0
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January 29, 2019 webmaster
Banking, Regulatory, UK
www.velaw.com/Insights/District-Court-Tells-Government-to-Show-Its-Work-in-Challenge-to-Its-Role-in-Internal-Investigation/ 0
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January 14, 2019 webmaster
Banking, Litigation, Regulatory, US
www.ropesgray.com/en/newsroom/alerts/2018/12/SEC-Issues-Risk-Alert-on-Adviser-Personnels-Use-of-Electronic-Messaging goo.gl/f4GMqn Click to access OCIE%20Risk%20Alert%20-%20Electronic%20Messaging.pdf 0
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January 11, 2019 webmaster
Regulatory, Risk Management, US
www.dlapiper.com/en/uk/insights/publications/2018/12/uk-corporate-governance-reforms-how-do-they-affect-aim-companies/goo.gl/2MMGiUwww.twobirds.com/en/news/articles/2018/uk/preparation-for-corporate-governance-changes-for-aim-companies www.ogier.com/publications/qa-new-aic-code-and-implications-for-lse-listed-offshore-companies 0
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January 10, 2019 webmaster
Corporate Governance, Corporate Law, Regulatory, UK
www.dlapiper.com/en/belgium/insights/publications/2018/12/the-belgian-act-implementing-the-insurance-distribution-directive/ Click to access fsi-regflash-idd-transposition-dec2018.pdf www.lydian.be/news/transposition-idd-christmas-gift-belgian-insurance-sector 0
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January 10, 2019 webmaster
Belgium, Insurance, Regulatory
