Compliance Updater - October 2020

Martin Mitchell | 31st October 2020 | Compliance Updater
More problems for EY over Wirecard. Consumers still confused by FCA rules. Yorkshire property developer settles with NCA over unexplained wealth. UK FCA bans crypto derivatives sales to retail customers....

CCL Regulatory Update: Middle East Edition - October 2020

Jade Ashpole | 31st October 2020 | Middle East Regulatory Updates
This edition includes: DIFC Authority’s Board of Directors Appointed, ADGM and Companies House Gibraltar Partner to Bolster Respective Registration Functions, UAE Merges Insurance Authority with Central Bank, FATF Updates the...

CCL Regulatory Update: UK Edition - October 2020

Carwyn Evans | 31st October 2020 | UK Regulatory Updates
This edition includes: FCA Further Extends and Amends Temporary Measures for Depreciation Notification, ESMA Updates Statements on the Impact of Brexit on MiFID II/MiFIR, FCA Policy Statement on Extending the...

Concerning Conduct: Quarterly Cases - Q3 2020

Martin Mitchell | 13rd October 2020 | Concerning Conduct
Deutsche agrees to $150m fine for compliance failings in dealing with Epstein. Grant Thornton fined £3m over ethical and objectivity failures. Barclays boss accused of making sexist remarks. Twitter hack...

Compliance Updater - September 2020

Martin Mitchell | 30th September 2020 | Compliance Updater
H2O funds suspended by French regulator. Thirteen sued over £178m alleged fraud at LCF. Insurers lose FCA Covid 19 legal case. Deloitte fined for audit lapses. Big four in joint...