Compliance Updater - October 2019

Martin Mitchell | 31st October 2019 | Compliance Updater
Burford Capital launches a legal action against the LSE. Prudential fined £24m by the FCA over annuity sales. Ex-trader claims Citi framed him. SEC preparing new limits on shareholders agitating...

CCL Regulatory Update: UK Edition - October 2019

Carwyn Evans | 31st October 2019 | UK Regulatory Updates
This edition includes: FCA Letter on Expectations for SARs and STORs, Bank of England Stress Testing Results, ESMA Updates MiFID II Q&As, HM Treasury Approves Changes to JMLSG – Syndicated...

Compliance Updater - September 2019

Martin Mitchell | 30th September 2019 | Compliance Updater
Sweden state pension fund fires CEO over internal rule breach. Banker in insider dealing investigation charged for deleting messages. Ex-Goldman banker told to pay £7.3m in corruption case. Clearing house...

CCL Regulatory Update: UK Edition - September 2019

Carwyn Evans | 30th September 2019 | UK Regulatory Updates
This edition includes: FCA on Guidance for the Fair Treatment of Vulnerable Customers, Strengthening Individual Accountability –SM&CR, European Commission FAQ on PSD2, MEPs Call for Implementation of AML Rules, FCA...

CCL Regulatory Update: Middle East Edition - September 2019

Clare Curtis | 30th September 2019 | Middle East Regulatory Updates
This edition includes: New DIFC Employment Law Enacted, FSRA Publishes Detailed Guidance on Digital Securities, Saudi Capital Market Authority Approves Multiple FinTech “Experimental Permits” for Equity Crowdfunding, EU to Consider...