Compliance Updater - August 2018

Martin Mitchell | 31st August 2018 | Compliance Updater
LGIM facing whistleblower accusations of risk and compliance failures. New EU rules come in for CFDs. Republican congressman insider dealing during a picnic at the White House. Trump-style tweet may...

Compliance Updater - July 2018

Martin Mitchell | 31st July 2018 | Compliance Updater
Businesses overwhelmed with GDPR complaints and inquiries. Conduct risk rating agency set for launch. Glencore investigation by DoJ into bribery and corruption. Amsterdam benefitting from trading groups’ Brexit concerns. Credit...

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...