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Compliance Updater - October 2019

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

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...

Compliance Updater - September 2019

Sweden state pension fund fires CEO over internal rule breach. Banker in insider dealing investigation charged for deleting messages. Ex-Goldman banker told to pay £7.3m in corruption case. Clearing house...