Compliance Updater - May 2020

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

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

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

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

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...