Compliance Updater - January 2021

Starting 2021 with a Brexit ‘no deal’ on financial services. TP ICAP unable to use pandemic disruption as an excuse. Deutsche agrees $125m settlement over fraud and bribery allegations. Thousands...

CCL Regulatory Update: Middle East Edition - January 2021

This edition includes: DIFC Hosts Outreach Session for Cyber Risk Management Guidelines, ADGM Holds Online Workshop on Cryptocurrency and Counter Proliferation Finance, SAMA Issues the Open Banking Policy, Update to...

CCL Regulatory Update: UK Edition - January 2021

This edition includes: FCA Webpage on Passporting In and Out of Gibraltar, SM&CR Forms Update, ESMA Issues Statement on MiFID II Reverse Solicitation, FCA on Financial Crime Systems and Controls...

Compliance Updater - December 2020

The formalisation of Brexit. Wirecard Bank’s inappropriate corporate governance. South Korea threatens jail for short sellers. Robinhood accused of treating trading ‘like a game’. Credit Suisse charged in Switzerland over...

CCL Regulatory Update: Middle East Edition - December 2020

This edition includes: DIFC Issues its First Licence to Provide Money Services in the DIFC, Bryan Stirewalt, Chief Executive of the DFSA, to Retire, Oman CMA Creates a New Department...