Compliance Updater - January 2020

Martin Mitchell | 31st January 2020 | Compliance Updater
Challenger audit firm RSM misstates its own accounts. Cyber criminals attack Travelex. FCA attempts to require clarity from banks re interest rates. Dixons Carphone fined £500,000 for data breach. Citadel...

CCL Regulatory Update: UK Edition - January 2020

Carwyn Evans | 31st January 2020 | UK Regulatory Updates
This edition includes: FCA Dear CEO Letter to Asset Managers, Bank of England and FCA Encourages Switch from LIBOR to SONIA, ESMA Update on Governance and Reporting Obligations for Brexit,...

CCL Regulatory Update: Middle East Edition - January 2020

Jade Ashpole | 31st January 2020 | Middle East Regulatory Updates
This edition includes: DFSA Outreach Session – Cyber Threat Intelligence Platform, Summary of Proposed FSRA Changes in Consultation Paper No. 5 of 2019, Economic Substance Update, FATF Hosts Forum for...

Concerning Conduct: Quarterly Cases - Q4 2019

Martin Mitchell | 30th January 2020 | Concerning Conduct
October 2019 Californian sexism lawsuit. Solicitors’ Tribunal finds against Freshfields partner. Fund manager alleged to have sexually harassed juniors. November 2019 PRA warns insurers to improve culture. UBS fined for...

Compliance Updater - December 2019

Martin Mitchell | 31st December 2019 | Compliance Updater
Baker McKenzie partner embarrassed over kissing episode. FCA to ban promotion of mini bonds. Ex-partner at Deloitte goes to court over misconduct claims. Japan’s public pension fund rules against stock...