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Hong Kong regulator fines EFG Bank more than $1.3m for multiple failures
The SFC said the penalty is due to failures relating to product due diligence, recordkeeping, and late reporting.
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Podcast: Barry Posner on healthcare M&A diligence and regulatory change
Against a backdrop of uncertain times for healthcare M&A, we spoke to Barry Posner, partner at Kudman Trachten Aloe Posner LLP.
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Some corporate finance firms could be violating AML rules, FCA survey reveals
The FCA has published the findings of its latest survey on how corporate finance firms are monitoring and reporting financial crime risks.
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OPINION: SEC’s IFRS threat – what it means for global sustainability reporting
Paul Atkins has threatened to ban overseas companies from using IFRS if they include any sustainability concerns.
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Significant updates to CRS and FATCA reporting regime in the UK
The changes are of importance to all financial institutions, especially e-money institutions and firms previously not registered for AEOI reporting with HMRC.
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Regulatory due diligence: What’s next for consolidators?
M&A activity could see an amalgamation of the consolidators as private equity seeks to exit its investments, realising its gains.
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Podcast: Kristy Grant-Hart walks us through the compliance technology review
Head of Advisory Services for Spark Compliance highlights the incredible value of these reviews.
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Updated UK Modern Slavery Act guidance published
An in-depth look at the statement content guidance after the issue of the first significant update in 10 years.