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...

Compliance Updater - February 2018

Gazprombank reprimanded by Switzerland’s Finma. FCA’s Bailey calls for an EU financial regulation transition pact. Yellen’s last move puts sanctions on Wells Fargo. Banks clearly concerned by ‘Big Tech’. US...

Compliance Updater - January 2018

China issues draft rules to cut red tape for foreign banks. Ant’s bid for MoneyGram blocked by US regulator. PWC deemed professionally negligent in Colonial Bank audit. US tax reforms...