Concerning Conduct: Quarterly Cases - Q3 2020

Martin Mitchell | 13rd October 2020 | Concerning Conduct
Deutsche agrees to $150m fine for compliance failings in dealing with Epstein. Grant Thornton fined £3m over ethical and objectivity failures. Barclays boss accused of making sexist remarks. Twitter hack...

Compliance Updater - September 2020

Martin Mitchell | 30th September 2020 | Compliance Updater
H2O funds suspended by French regulator. Thirteen sued over £178m alleged fraud at LCF. Insurers lose FCA Covid 19 legal case. Deloitte fined for audit lapses. Big four in joint...

CCL Regulatory Update: Middle East Edition - September 2020

Jade Ashpole | 30th September 2020 | Middle East Regulatory Updates
This edition includes: DFSA Issues Discussion Paper on Sustainable Finance in the DIFC, ADGM Appoints New CEO for its Financial Services Regulatory Authority, FSB RCG MENA Group Discusses the Economic...

CCL Regulatory Update: UK Edition - September 2020

Carwyn Evans | 30th September 2020 | UK Regulatory Updates
This edition includes: Extension of SM&CR for Solo-Regulated Firms, PRA Letter on the Operational Readiness of the Temporary Permissions Regime, ESMA Confirms Certain Elements of the Securitisation Regulation Are in...

Compliance Updater - August 2020

Martin Mitchell | 31st August 2020 | Compliance Updater
Second Wirecard Executive held on suspicion of fraud. Deutsche agrees to $150m fine for compliance failings in dealing with Epstein. Trump imposes sanctions on China. Singapore charges businessman over Wirecard...