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Compliance Updater - August 2021

SEC chair warning re crypto assets. Compliance and legal combination concerns at Softbank. UK’s FCA considering block on bank branch closures. German asset manager tries to flip insolvency preference on...

Compliance Updater - July 2021

Finra fines Robinhood record amount. Deutsche slip up on staffing means no HK IPO sponsor role. FCA proposes reforms to UK listing rules. EU plans Anti-Money Laundering Authority to fight...

Concerning Conduct: Quarterly Cases - Q2 2021

Volkswagen’s April Fool’s joke sees ADRs up sixteen per cent. Firms try to address burnout with bonuses and luxury gifts for staff. Fink addresses BlackRock behavioural failings. Procurement civil servant...