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Fraud, Scams & Cybercrime
SEC Halts Worldwide Pyramid Scheme
By Editors | 21/10/2013
The Securities and Exchange Commission today announced charges and asset freezes against the operators and promoters of a worldwide pyramid […]
Trade Based Money Laundering
Sanctions Risk Within Supply Chain Financing
By Editors | 16/10/2013
Henry Balani from Accuity looks at the Anti-Money Laundering risks related to Trade Finance
Supervision & Enforcement
HK SFC signs MoU with Mongolia Financial Regulatory Commision
By Editors | 11/10/2013
The Securities and Futures Commission (SFC) and the Financial Regulatory Commission of Mongolia (FRC) today entered into a Memorandum of […]
Anti-Money Laundering
FATCA Registry will Aid Foreign Financial Institutions’ Compliance Efforts
By Editors | 02/10/2013
The recent creation of a new online registration system for financial institutions to register with the U.S. Internal Revenue Service (IRS) will benefit compliance and legal staff.
Fraud, Scams & Cybercrime
SEC Freezes Assets in Ponzi Scheme Targeting Investors in Japan
By Editors | 27/09/2013
The Securities and Exchange Commission today announced an emergency action to freeze the assets of a Las Vegas-based firm and […]
Emerging Prudential Risks
Deputy Governor Hu Xiaolian Speech on Improving Regulatory Coordination
By Editors | 24/09/2013
Outlined below is a speech Deputy Governor Hu Xiaolian of the People’s Bank of China gave at the Second Financial […]
Market Abuse
Thailand Based Trader Pays $5.2M SEC Settlement
By Editors | 06/09/2013
The Securities and Exchange Commission today announced that a Bangkok-based trader whose U.S. brokerage account was frozen in an SEC […]
Emerging Prudential Risks
IMF-World Bank: India – Basel Core Principles for Effective Banking Supervision
By Editors | 30/08/2013
The RBI welcomes the comprehensive review of banking regulation and supervision in India done with respect to the highest international […]
Anti-Money Laundering
China to sign Multilateral Tax Convention
By Editors | 26/08/2013
China is joining the group of more than 50 developed and developing countries, including all G20 members, which are signatories […]
Structural Regulation
Japanese FSA Signs Cooperation with National Bank of Slovakia
By Editors | 23/08/2013
On August 22, the Japanese Financial Services Agency (FSA) signed a Memorandum of Cooperation with the National Bank of Slovakia […]
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