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....

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...