Financial Services Regulation

Group founded 01 Jul 2010
Posts 551
Members 61
Group summary

This network is for financial professionals interested in staying up to date on financial services regulation happening anywhere in the world. CFOs, bankers, fund managers, treasurers welcome.

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Emily Harris

An Open Letter to the FCA: Go Beyond Financial Promotions

At Fiat Republic, we are committed to helping the cryptocurrency industry navigate fast-changing financial regulations. Our crypto consortium is directly tied to this vision; it will represent respons...

24 Mar 2022
Andrew Lawton

Deadline looming for financial services firms to demonstrate operational resilience

31st March 2022 represents an important regulatory deadline for financial services firms in the UK. Last March, the Bank of England and FCA released their Operational Resilience Policy Statement. It r...

24 Feb 2022
Anna Monteiro

Could Norway’s Tight Substantial Shareholding Disclosure Window Cost It Investment

It is widely known that Norway has one of the tightest substantial shareholding disclosure windows among countries. While many countries allow for reporting of substantial shareholding within days of ...

16 Feb 2022
Anna Monteiro

Roundup of Q4 2021 Foreign Direct Investment Regulations

Changes and extensions to foreign direct investment rules in the fourth quarter of 2021 continued to be fueled by Covid-19 as the Omicron variant made its debut in November. A few countries, France, I...

27 Jan 2022
Jussi Karjalainen

How NOT to fail the Australian Prudential Regulation Authority's YFYS spend related performance test

As the Australian Prudential Regulation Authority (APRA) continues to introduce more and more regulation and oversight over the superannuation industry, superfunds are finding themselves having to con...

23 Nov 2021
Garima Chaudhary

What U.K. bank CEOs can do now to close gaps in their anti-money laundering controls

Introduction The Financial Conduct Authority (FCA), the regulator of financial markets in the U.K., flexed its muscles in March of this year when it launched its first attempted prosecution for anti-...

20 Oct 2021
Luigi Wewege

Can a United States Citizen Have an Offshore Bank Account?

One of the downsides of the Internet is the dissemination of misinformation. That has led some to believe that US citizens cannot open and maintain offshore bank accounts, investment accounts, and oth...

17 Oct 2021
Karen Hsu

BSA Compliance and FFIEC Examinations for Mobile Apps

Thanks in large part to the global pandemic, consumers are increasingly turning to mobile apps to manage their finances, payments and transactions. In fact, 58% of mobile consumers report using and do...

30 Sep 2021
Retired Member

How Financial Institutions Can Fight Money Laundering in a Disrupted Global Environment

The disruption and uncertainty created by COVID-19 has slowed business execution across all aspects of businesses. Anti-financial crime and compliance functions are no exception. However, the challeng...

30 Sep 2021
Anna Monteiro

Slow Third Quarter for Foreign Direct Investment Changes

As expected, it’s been a slow third quarter for changes to foreign direct investment (FDI). Following on from my last update, we’ll start in the AsiaPac region and move westward. Australia has been e...

24 Sep 2021
Anna Monteiro

Around the World of Foreign Direct Investment

Just coming up for some air, having had a busy first half to 2021 and realizing that my update on foreign direct investment is long overdue. Let’s not waste any time because there’s plenty to report s...

14 Jul 2021
Nick Green

A quick look at the data requirements for the 6th Anti-Money Laundering Directive 6AMLD

6AMLD: A quick look at the data requirements for the 6th Anti-Money Laundering Directive (6AMLD) Anti-Money Laundering (AML) is one of the most intense areas of financial regulation. With the devel...

09 Apr 2021

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