Compliance Updater - March 2020

Coronavirus and compliance. Deutsche Bank’s UK difficulties. Freedom of information response reveals seven breaches by UK funds. Deutsche Bank cleared funds as correspondent for Jho Low. Swedbank faces possible sanction...

Compliance Updater - February 2020

CEO-chair combination to be challenged. FCA suffers embarrassing compliance failure. Deutsche probing Saudi wealth management bribes. Thiam ousted to protect Credit Suisse’s reputation. Work-life balance plans for LSE. Long lens...

Compliance Updater - January 2020

Challenger audit firm RSM misstates its own accounts. Cyber criminals attack Travelex. FCA attempts to require clarity from banks re interest rates. Dixons Carphone fined £500,000 for data breach. Citadel...

Compliance Updater - December 2019

Baker McKenzie partner embarrassed over kissing episode. FCA to ban promotion of mini bonds. Ex-partner at Deloitte goes to court over misconduct claims. Japan’s public pension fund rules against stock...

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...