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....

Compliance Updater - June 2019

SEC agrees to introduce best interest rule for stockbrokers. Woodford problems highlight the failure of the ACD. ‘Ethical failures’ at US arm of KPMG. PWC faces £4.6m audit penalty. RBS...

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...