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Compliance Updater - May 2020

Martin Mitchell | 31st May 2020 | Compliance Updater
HSBC reports suspicions over Singapore energy trading firm. BaFin looking into market manipulation and director dealing at Wirecard. KPMG facing £250m lawsuit over Carillion audits. Whistleblower reports to UK’s FCA...

Compliance Updater - April 2020

Martin Mitchell | 30th April 2020 | Compliance Updater
Professional services firms’ attempts to cope with the coronavirus. Concerns over data security and privacy on Zoom. Morrisons wins appeal over data leak. UK FCA eases emergency fundraising requirements. Softbank...

CCL Regulatory Update: UK Edition - April 2020

Carwyn Evans | 30th April 2020 | UK Regulatory Updates
This edition includes: FCA Expectations for SM&CR Solo Regulated Firms, PRA Statement on COVID-19 Regulatory Reporting and Disclosure Amendments, ESMA Publishes Advice to the European Commission on Inducements and Costs...
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Latest Events

The SM&CR Briefing Series

16th June 2020
Three online briefings focussing on key challenges of implementing the SM&CR. Session 1 - Meeting the challenge of conduct training Session 2 - Conduct Training – Pitfalls to Avoid Session...
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