Compliance Updater - December 2020

Martin Mitchell | 31st December 2020 | Compliance Updater
The formalisation of Brexit. Wirecard Bank’s inappropriate corporate governance. South Korea threatens jail for short sellers. Robinhood accused of treating trading ‘like a game’. Credit Suisse charged in Switzerland over...

CCL Regulatory Update: Middle East Edition - December 2020

Jade Ashpole | 31st December 2020 | Middle East Regulatory Updates
This edition includes: DIFC Issues its First Licence to Provide Money Services in the DIFC, Bryan Stirewalt, Chief Executive of the DFSA, to Retire, Oman CMA Creates a New Department...

CCL Regulatory Update: UK Edition - December 2020

Carwyn Evans | 31st December 2020 | UK Regulatory Updates
This edition includes: FCA Reminds Firms to be Ready for End of Transition Period, PRA Evaluation of the Senior Managers and Certification Regime, ESMA Publishes Cloud Outsourcing Guidelines, FATF Publishes...

Concerning Conduct: Quarterly Cases - Q4 2020

Martin Mitchell | 31st December 2020 | Concerning Conduct
Vatican invested donations in CDSs. Concerns re tax bills on staff working from holiday villas. Cyprus suspends ‘golden passports’ scheme after media sting. Retirement scheme freezes new investments with Apollo...

Compliance Updater - November 2020

Martin Mitchell | 30th November 2020 | Compliance Updater
ESMA criticises Germany’s BaFin over Wirecard. Barclays forced to repay millions on timeshares. EY to be sued over NMC Health audit failure. Vanguard sent out inaccurate data to clients on...