Risk Management: Mitigating Regulatory Risk of Robo-Advisors through Information Governance
www.connectontech.com/rise-of-robo-advisors-mitigating-regulatory-risk-through-information-governance/#page=1 0
Continue reading
Home » Posts taggedBanking (Page 45)
Singapore: Joint Bank Accounts in Estate Planning
bit.ly/3vrz8Ok 0
Continue reading
US: FINRA expels Broker-Dealer for Misuse of Customer Accounts
www.findknowdo.com/news/03/28/2022/finra-expels-broker-dealer-misuse-customer-accounts?utm 0
Continue reading
US: OCC and FinCEN issue $200 Million in Penalties for BSA-AML Violations
bit.ly/3Ok1RwY 0
Continue reading
US: Bank settles OCC and FinCEN Charges for BSA/AML Violations with 140 million USD Payment
www.findknowdo.com/news/03/21/2022/bank-settles-occ-and-fincen-charges-bsa/aml-violations?utmbuckleyfirm.com/blog/2022-03-22/bank-fined-140-million-bsaaml-compliance-failures#page=1 0
Continue reading
Peru: Rules for new Participants to the Financial System eased
www.garrigues.com/en_GB/new/peru-encourages-entry-new-participants-local-financial-system 0
Continue reading
Singapore: Court rejects Bank’s Claim for the Recovery of Monies paid under a Letter of Credit on the Basis of Fraud
www.kingsleynapley.co.uk/insights/blogs/family-law-blog/six-legal-tips-for-expat-divorcees-over-assets-in-trust#page=1blogs.duanemorris.com/duanemorrisandselvam/2022/09/27/crypto-fraud-an-overview-of-recourse-and-remedies-in-singapore/ 0
Continue reading
Poland: New EBA and FSA Guidelines for remote Client Onboarding
www.taylorwessing.com/en/insights-and-events/insights/2022/03/how-to-remotely-x-ray-the-client 0
Continue reading
Germany: Domestic estate Assets and a foreign Executor
www.skwschwarz.de/en/details/inlaendisches-nachlassvermoegen-und-auslaendischer-testamentsvollstrecker 0
Continue reading
UK: The Powers of a Limited Power of Attorney – more limited than one might expect
www.macfarlanes.com/what-we-think/in-depth/2022/the-powers-of-an-lpa-attorney-more-limited-than-one-might-expect/ 0
Continue reading