Compliance Updater - May 2019

LCF accused of misleading investors in the ‘mini bonds’ scandal. Hong Kong tycoon battling with Shaftesbury plc over non-pre-emptive placing. British company ownership secrecy still lingers. Jefferies helped hedge fund...

Compliance Updater - April 2019

Banking Standards Board survey results published. Two former Barclays traders jailed for roles in Euribor rigging. Socially responsible bribery? Treasury orders FCA to appoint independent reviewer over LCF collapse. FCA...

Compliance Updater - March 2019

HMRC accused of breaching FCA regulations. MPs demand an end to secret company ownership in the UK crown dependencies. Increase in whistleblowing to the UK’s FCA. Britain’s biggest estate agent...

Compliance Updater - February 2019

EU accuses eight banks of rigging the eurozone bond market. Brexit certainty reached on delegated fund management. MiFID II results in new entrant into corporate broking sector. Australia’s Royal Commission...

Compliance Updater - January 2019

UK’s FCA probing work culture at RBC. Danske now facing a French investigation. Former StanChart employee to plead guilty to Iran sanction breaches charge. Four former Barclays executives deny fraud...