Compliance Updater - May 2019

LCF accused of misleading investors in the ‘mini bonds’ scandal. Hong Kong tycoon battling with Shaftesbury plc over non-pre-emptive placing. British company ownership secrecy still lingers. Jefferies helped hedge fund...

CCL Regulatory Update: UK Edition - May 2019

This edition includes: FCA Launches Financial Services Regulatory Partners’ Phoenixing Group, Operational Resilience: A Progress Report From Nick Strange, ESMA Launches Call for Evidence on Position Limits in Commodity Derivatives,...

CCL Regulatory Update: Middle East Edition - May 2019

This edition includes: Tribunal Upholds DFSA Decision to Withdraw Firm’s Licence, FRSA Enhances Guidance on Regulation of Crypto Asset Activities, ESCA Launches 24/7 Service Danske Bank Develops Hiring Plans Post...

Compliance Updater - April 2019

Banking Standards Board survey results published. Two former Barclays traders jailed for roles in Euribor rigging. Socially responsible bribery? Treasury orders FCA to appoint independent reviewer over LCF collapse. FCA...

CCL Regulatory Update: UK Edition - April 2019

This edition includes: FCA Handbook Notice, PRA on Revision of Branch Return, BCBS on Consolidated Basel Framework, FATF Report to G20 FCA Fines Standard Chartered Bank and Draft Brexit SIs...