Compliance
Compliance: FINRA fines E*Trade
In the world of US regulatory fines, USD1 million's paltry. But the action against E*Trade marks an important milestone.
Compliance: Australian law - latest in-force provisions
Australia's latest tranche of its highly complex Anti-Money Laundering and Counter-Terrorism Financing Act 2006 came into force on . That's the last part of the process. Now all that remains to be seen is whether anyone actually understands it enough to comply with it.
Compliance: USA "Red Flags Rules"
Below, unedited, is the USA's Federal Trade Commission's note regarding the so-called "Red Flag Rules" to combat identity fraud published June 2008 and referred to in "Red flags rules" shown the red flag .
Compliance: "red flags rules" shown the red flag
In the buzzword-laden world that the USA's regulatory regime has become, regardless of whether the buzzwords actually make sense, the so-called "red flags rules" relating to so-called "identity theft" are amongst the most badly phrased. And now they have been red-flagged in the true sense of the phrase.