Compliance Updater - July 2020

Martin Mitchell | 31st July 2020 | Compliance Updater
Deadline missed for Brexit parallel equivalence assessment. US Supreme Court ruling on disgorgement. Big four accountants given UK audit split deadline. Deloitte faces fine for audit failings at Autonomy. Four...

Concerning Conduct: Quarterly Cases - Q2 2020

Martin Mitchell | 15th July 2020 | Concerning Conduct
Insurance and the pandemic. Expenses scandal and conflict management at the world’s biggest sovereign wealth fund. Potential for backlash for big US groups. Judge rules in favour of LSE over...

Compliance Updater - June 2020

Martin Mitchell | 30th June 2020 | Compliance Updater
FCA to bring test case on business interruption wordings. HSBC and StanChart facing difficulties over supporting Beijing security law. Barclays facing latest battle over crisis fundraising. Simon Property Group claims...

CCL Regulatory Update: UK Edition - June 2020

Carwyn Evans | 30th June 2020 | UK Regulatory Updates
This edition includes: FCA Guidance on Assessing Adequate Financial Resources, PRA Statement on Electronic Signatures, ESMA Guidance on Compliance Function Under MiFID II, JMLSG Publishes Revised Guidance, FCA Fines Commerzbank...

CCL Regulatory Update: Middle East Edition - June 2020

Jade Ashpole | 30th June 2020 | Middle East Regulatory Updates
This edition includes: DIFC and DFSA Host RegTech Event, RA Issues Public Consultation on Updates to its Decision Procedures and Enforcement Manual, SCA Launches a New Version of its Digital...