Compliance Updater - November 2019

Administrators at LCF use third party to consider suing PwC and EY. South Korea’s biggest hedge funds freezes withdrawals. PRA warns insurers to improve culture. Humiliation for the UK’s FCA...

Compliance Updater - October 2019

Burford Capital launches a legal action against the LSE. Prudential fined £24m by the FCA over annuity sales. Ex-trader claims Citi framed him. SEC preparing new limits on shareholders agitating...

Compliance Updater - September 2019

Sweden state pension fund fires CEO over internal rule breach. Banker in insider dealing investigation charged for deleting messages. Ex-Goldman banker told to pay £7.3m in corruption case. Clearing house...

Compliance Updater - August 2019

Global regulators’ privacy worries over Facebook cryptocurrency. Malaysia charges seventeen Goldman staff over 1MDB scandal. Allegations of market manipulation against short seller Muddy Waters. Claims of a $38bn fraud at...

Compliance Updater - July 2019

Swiss v EU spat – is this a signal for the post-Brexit world? Orcel set to sue Santander for €100m. UK’s FCA plans ban on bitcoin derivatives for retail investors....