Compliance Updater - August 2021

Martin Mitchell | 31st August 2021 | Compliance Updater
SEC chair warning re crypto assets. Compliance and legal combination concerns at Softbank. UK’s FCA considering block on bank branch closures. German asset manager tries to flip insolvency preference on...

Compliance Updater - July 2021

Martin Mitchell | 31st July 2021 | Compliance Updater
Finra fines Robinhood record amount. Deutsche slip up on staffing means no HK IPO sponsor role. FCA proposes reforms to UK listing rules. EU plans Anti-Money Laundering Authority to fight...

Concerning Conduct: Quarterly Cases - Q2 2021

Martin Mitchell | 31st July 2021 | Concerning Conduct
Volkswagen’s April Fool’s joke sees ADRs up sixteen per cent. Firms try to address burnout with bonuses and luxury gifts for staff. Fink addresses BlackRock behavioural failings. Procurement civil servant...

How to...Study for your CISI exam

Martin Mitchell | 27th July 2021 | Thought Leadership
Starting to study towards one of the CISI’s exams? Here are five key tips to enable you to focus your efforts, save on preparation time and boost your chances of...

Compliance Updater - June 2021

Martin Mitchell | 30th June 2021 | Compliance Updater
Trafigura flags up suspicious Gupta invoice. G7 heralds “starting point” on road to multinational tax reform. Australia launches major money laundering probe, including at NAB. Lithuanian fintech loses licence over...