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...

CCL Regulatory Update: UK Edition - June 2019

Carwyn Evans | 30th June 2019 | UK Regulatory Updates
This edition includes: FCA Quarterly Consultation, PRA Regulated Fees and Levies Proposal 2019/20, EBA Publishes Opinion on Strong Customer Authentication on PSD2, HM Treasury Updates AML/CTF Notice on Controls in...

CCL Regulatory Update: Middle East Edition - June 2019

Clare Curtis | 30th June 2019 | Middle East Regulatory Updates
This edition includes: DFSA Makes Amendments to Rulebook, ADGM Joins Network for Sustainable Financing, Global Financial Innovation Network Publishes Year Review Report, UK Courts Find Two Guilty of Insider Dealing.

Compliance Updater - May 2019

Martin Mitchell | 31st May 2019 | Compliance Updater
LCF accused of misleading investors in the ‘mini bonds’ scandal. Hong Kong tycoon battling with Shaftesbury plc over non-pre-emptive placing. British company ownership secrecy still lingers. Jefferies helped hedge fund...

CCL Regulatory Update: UK Edition - May 2019

Carwyn Evans | 31st May 2019 | UK Regulatory Updates
This edition includes: FCA Launches Financial Services Regulatory Partners’ Phoenixing Group, Operational Resilience: A Progress Report From Nick Strange, ESMA Launches Call for Evidence on Position Limits in Commodity Derivatives,...