Compliance Updater - July 2018

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...

Compliance Updater - June 2018

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...

Compliance Updater - May 2018

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...

Compliance Updater - April 2018

Spotify becomes the largest direct listing on record. Slip up in the FTSE Russell index – LongFin in, then out. FCA reveals first set of rules after asset management market...

Compliance Updater - March 2018

Britain’s first unexplained wealth order. US DoJ charges UK broker for pumping and dumping. Google received 2.4m requests to be forgotten. Saudi Aramco IPO delayed until 2019. Trump blocks proposed...