Compliance Updater - May 2020

Martin Mitchell | 31st May 2020 | Compliance Updater
HSBC reports suspicions over Singapore energy trading firm. BaFin looking into market manipulation and director dealing at Wirecard. KPMG facing £250m lawsuit over Carillion audits. Whistleblower reports to UK’s FCA...

Compliance Updater - April 2020

Martin Mitchell | 30th April 2020 | Compliance Updater
Professional services firms’ attempts to cope with the coronavirus. Concerns over data security and privacy on Zoom. Morrisons wins appeal over data leak. UK FCA eases emergency fundraising requirements. Softbank...

CCL Regulatory Update: UK Edition - April 2020

Carwyn Evans | 30th April 2020 | UK Regulatory Updates
This edition includes: FCA Expectations for SM&CR Solo Regulated Firms, PRA Statement on COVID-19 Regulatory Reporting and Disclosure Amendments, ESMA Publishes Advice to the European Commission on Inducements and Costs...

CCL Regulatory Update: Middle East Edition -April 2020

Jade Ashpole | 30th April 2020 | Middle East Regulatory Updates
This edition includes: DFSA Creates ‘Regulatory Relief Measures Application’ Online Form, ADGM Announces Further Incentives to Support Businesses, SCA Hold Meeting on Internal and External Actions for COVID-19 Measures, ESMA...

Concerning Conduct: Quarterly Cases - Q1 2020

Martin Mitchell | 16th April 2020 | Concerning Conduct
Coronavirus and conduct. EY acts on conduct failings with “belonging” workshops. Goldman Sachs makes qualified diversity pledge. Citigroup suspends bond trader over alleged food theft. Deutsche probing Saudi wealth management...