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...

CCL Regulatory Update: UK Edition - December 2019

Carwyn Evans | 31st December 2019 | UK Regulatory Updates
This edition includes: FCA Extends the SM&CR to c. 47,000 firms, Special Requirements Regarding Whistleblowing Systems and Controls at the Society of Lloyd’s, ESMA Q&As, The Money Laundering and Terrorist...

CCL Regulatory Update: Middle East Edition - December 2019

Clare Curtis | 31st December 2019 | Middle East Regulatory Updates
This edition includes: DFSA to Launch Cyber Threat Intelligence Platform, ADGM Holds December Outreach Session, Saudi Arabia Bans Firms from Having Both Insurance and Reinsurance Businesses, FCA Fines PPC for...

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...