Compliance Updater - December 2021

Listing rules changes take effect in the UK. Dubai DFSA fines manager of REIT over “misleading statements”. FCA launches second consultation on consumer duty. Deutsche Bank fined €8.7m by BaFin...

Concerning Conduct: Quarterly Cases - Q4 2021

Goldman Sachs removes essential staff’s free breakfast and lunch. PwC allows UK staff to work remotely but with risk of pay cut. Ireland falls into line on global tax. US...

Compliance Updater - November 2021

Barclays CEO steps down over links to Epstein. Basel III banking standards implementation to be delayed. Grant Thornton fined over audit failures at Interserve. FCA begins to act against ‘greenwashing’....

Learning Resources

Here are some guides, tips and other useful compliance learning resources for you to download and share with staff and team members.Learning GuidesHow to…Study for your CISI exam   PDFHow to...Revise...

Compliance Updater - October 2021

Ex-Union Investment fund manager faces three-and-a-half years in jail. Six Swiss bankers accused by US of aiding $60m tax evasion. Wise CEO tax breach could bring FCA sanction. NatWest admits...