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Canada: Court rules that Financial Institution did not have Duty to advise of Beneficiary Change

estatelitigationlawyers.ca/blog/estate-litigation/is-there-a-duty-to-advise-a-beneficiary-if-a-testator-removes-them-as-one/welpartners.com/blog/2022/10/corroboration-and-material-facts-a-look-at-the-recent-case-of-fair-v-bmo-nesbitt-burns-inc/www.canlii.org/en/on/onca/doc/2022/2022onca711/2022onca711.html 0

December 6, 2022 webmaster Banking, Canada, Trusts

US: Broker-Dealer and CCO settle Charges for AML Compliance Failures

www.findknowdo.com/news/11/14/2022/broker-dealer-and-cco-settle-charges-aml-compliance-failures 0

December 6, 2022 webmaster Banking, Regulatory, US

EU: EIOPA issues a Warning to Insurers and Banks on Credit Protection Insurance (CPI) Products

tinyurl.com/3wxyj4cf 0

December 1, 2022 webmaster Banking, European Union, Insurance, Regulatory

China: Banking and Insurance Regulatory Commission issues Rules on internal Controls of Wealth Management Companies

tinyurl.com/2p88vjdbwww.hankunlaw.com/en/portal/article/index/cid/8/id/12577.html 0

November 30, 2022 webmaster Banking, China, Regulatory

US: FINRA issues Guidance on Managing Succession Plans

www.findknowdo.com/news/11/02/2022/finra-issues-guidance-managing-succession-plans 0

November 24, 2022 webmaster Banking, Regulatory, US

US: SEC adopts Rule requiring Listed Companies to have Clawback Policies

www.findknowdo.com/news/10/27/2022/sec-adopts-rule-requiring-listed-companies-have-clawback-policieswww.jonesday.com/en/insights/2022/11/sec-adopts-final-doddfrank-act-clawback-rules-atoz-explanation 0

November 22, 2022 webmaster Banking, Regulatory, US

Trends: How Central Banks are assessing the Resiliency of Financial Institutions to various Climate Scenarios

prospectlaw.co.uk/news/article/climate-resiliency-testing-bankswww.cadwalader.com/cwt-climate/index.php?eid=40&nid=7 0

November 17, 2022 webmaster Banking, Regulatory, Trends

New Zealand: FMA warns InvestNow for AML/CFT Deficiencies and Failures

www.minterellison.co.nz/our-view/fma-warns-investnow-for-aml-cft-deficiencies-and-failures 0

November 16, 2022 webmaster Banking, Money Laundring, New Zealand, Regulatory

UK: Amended Bill gives Police Powers to monitor Financial Accounts of Persons suspected of “corrupt financial Influence”

www.gov.uk/government/news/foreign-influence-registration-scheme-to-make-clandestine-political-activity-illegalwww.lawgazette.co.uk/law/legal-services-exemption-in-foreign-agents-clampdown/5114000.article 0

November 15, 2022 webmaster Banking, Regulatory, UK

Poland: Freezing of Accounts by Law Enforcement Authorities

Click to access wiw_broszura_blokada_en.pdf 0

November 14, 2022 webmaster Banking, Freezing of Assets, Poland, Regulatory, Risk Management

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