Compliance Updater - October 2018

Martin Mitchell | 31st October 2018 | Compliance Updater
Facebook notifies of massive potential data breach. Musk settles with the US SEC over misleading tweet. Walgreens Boots Alliance pays $34.5m penalty to US SEC. Brussels orders Malta to tighten...

Compliance Updater - September 2018

Martin Mitchell | 30th September 2018 | Compliance Updater
Adoboli facing deportation from the UK to Ghana. Danske’s Estonian branch estimated to have handled $235bn of foreign client money over 9 years. BA suffers major website hack. Unilever details...

Compliance Updater - August 2018

Martin Mitchell | 31st August 2018 | Compliance Updater
LGIM facing whistleblower accusations of risk and compliance failures. New EU rules come in for CFDs. Republican congressman insider dealing during a picnic at the White House. Trump-style tweet may...

Compliance Updater - July 2018

Martin Mitchell | 31st July 2018 | Compliance Updater
Businesses overwhelmed with GDPR complaints and inquiries. Conduct risk rating agency set for launch. Glencore investigation by DoJ into bribery and corruption. Amsterdam benefitting from trading groups’ Brexit concerns. Credit...

FCA and the SM&CR – Some Practical Thoughts

Peter Haines | 7th July 2018 | Thought Leadership
As the FCA has announced the near-final rules and the implementation date for the Senior Managers and Certification Regime (SM&CR), this article contains some practical thoughts, based on experience of...