FCA and the SM&CR – Some Practical Thoughts

Peter Haines | 7th July 2018 | Thought Leadership
As the FCA has announced the near-final rules and the implementation date for the Senior Managers and Certification Regime (SM&CR), this article contains some practical thoughts, based on experience of...

Compliance Updater - June 2018

Martin Mitchell | 30th June 2018 | Compliance Updater
US adds Deutsche’s US subsidiary to list of ‘problem banks’. Research shows MiFID II has dramatically reduced broker commissions. Wells Fargo chooses Paris and Dublin post-Brexit. Australia files cartel charges...

CCL Regulatory Update: UK Edition - June 2018

Carwyn Evans | 30th June 2018 | UK Regulatory Updates
This edition includes: FCA List of Cooperation Agreements, FCA Update on Authorisation, Policy Statement on Algorithmic Trading, Final Measures on CFDs and Binary Options, Smooth Introduction for LEIs and Proposal...

UAE Summer Training Offer

10th June 2018 | CCL Academy Updates - UAE
50% off public training courses in Dubai this summer. Click for the full offer details

Compliance Updater - May 2018

Martin Mitchell | 31st May 2018 | Compliance Updater
Bloomberg chooses Amsterdam as its new trading base. Facebook to verify political issue advertisements. Cambridge Analytica required to respond to US individual’s subject access request. US SEC consulting on retail...