Compliance Updater - April 2018

Spotify becomes the largest direct listing on record. Slip up in the FTSE Russell index – LongFin in, then out. FCA reveals first set of rules after asset management market...

Compliance Updater - March 2018

Britain’s first unexplained wealth order. US DoJ charges UK broker for pumping and dumping. Google received 2.4m requests to be forgotten. Saudi Aramco IPO delayed until 2019. Trump blocks proposed...

CCL Regulatory Update: Middle East Edition - March 2018

This edition includes: DFSA Releases Consultation Paper No.117 Miscellaneous Changes. ADGM and Jersey Financial Services Commission Sign Statement of Co-operation Agreement. UAE Exchange Houses Ordered to Raise Standards by Central...

CCL Regulatory Update: UK Edition - March 2018

FCA Quarterly Consultation. Updated Application Form for Authorisation. Legal Entity Identifier Update on Validation Rule. Official Journal of the EU. JMLSG Proposes Revisions Former Deutsche Bank Trader Fined and Banned

Compliance Updater - February 2018

Gazprombank reprimanded by Switzerland’s Finma. FCA’s Bailey calls for an EU financial regulation transition pact. Yellen’s last move puts sanctions on Wells Fargo. Banks clearly concerned by ‘Big Tech’. US...