Compliance Updater - August 2019

Martin Mitchell | 31st August 2019 | Compliance Updater
Global regulators’ privacy worries over Facebook cryptocurrency. Malaysia charges seventeen Goldman staff over 1MDB scandal. Allegations of market manipulation against short seller Muddy Waters. Claims of a $38bn fraud at...

Compliance Updater - July 2019

Martin Mitchell | 31st July 2019 | Compliance Updater
Swiss v EU spat – is this a signal for the post-Brexit world? Orcel set to sue Santander for €100m. UK’s FCA plans ban on bitcoin derivatives for retail investors....

CCL Regulatory Update: UK Edition - July 2019

Carwyn Evans | 31st July 2019 | UK Regulatory Updates
This edition includes: FCA Confirms Permanent Restrictions on the Sale of CFDs and CFD-like Options, EBA Calls for Communication to Credit Institutions on AML/CFT Concerns from a Prudential Perspective, ESMA...

CCL Regulatory Update: Middle East Edition - July 2019

Clare Curtis | 31st July 2019 | Middle East Regulatory Updates
This edition includes: DFSA Release Consultation Paper No.126, Security Council Committee Adds Five Entries to its Sanctions List, UAE Introduce New Foreign Direct Investment Law, Outcomes of the June FATF...

Compliance Updater - June 2019

Martin Mitchell | 30th June 2019 | Compliance Updater
SEC agrees to introduce best interest rule for stockbrokers. Woodford problems highlight the failure of the ACD. ‘Ethical failures’ at US arm of KPMG. PWC faces £4.6m audit penalty. RBS...