Compliance Updater - November 2019

Martin Mitchell | 30th November 2019 | Compliance Updater
Administrators at LCF use third party to consider suing PwC and EY. South Korea’s biggest hedge funds freezes withdrawals. PRA warns insurers to improve culture. Humiliation for the UK’s FCA...

CCL Regulatory Update: UK Edition - November 2019

Carwyn Evans | 30th November 2019 | UK Regulatory Updates
This edition includes: Conduct Risk During LIBOR Transition, EBA Consultation on Amending Technical Standards for Passport Notification, ESMA Q&As, UKFIU Publishes New Glossary Codes and Reporting Routes on SARs, FCA...

CCL Regulatory Update: Middle East Edition - November 2019

Clare Curtis | 30th November 2019 | Middle East Regulatory Updates
This edition includes:DFSA Signs MoU with Saudi Regulator, FSRA Issues Public Consultation on Updates to PRU Rulebook, SCA Joins Global Financial Innovation Network, FATF Updates Countries on List of Jurisdictions...

Compliance Updater - October 2019

Martin Mitchell | 31st October 2019 | Compliance Updater
Burford Capital launches a legal action against the LSE. Prudential fined £24m by the FCA over annuity sales. Ex-trader claims Citi framed him. SEC preparing new limits on shareholders agitating...

CCL Regulatory Update: UK Edition - October 2019

Carwyn Evans | 31st October 2019 | UK Regulatory Updates
This edition includes: FCA Letter on Expectations for SARs and STORs, Bank of England Stress Testing Results, ESMA Updates MiFID II Q&As, HM Treasury Approves Changes to JMLSG – Syndicated...