Archive: 2018

Compliance Updater - July 2018

Businesses overwhelmed with GDPR complaints and inquiries. Conduct risk rating agency set for launch. Glencore investigation by DoJ into bribery and corruption. Amsterdam benefitting from trading groups’ Brexit concerns. Credit...

FCA and the SM&CR – Some Practical Thoughts

As the FCA has announced the near-final rules and the implementation date for the Senior Managers and Certification Regime (SM&CR), this article contains some practical thoughts, based on experience of...

Compliance Updater - June 2018

US adds Deutsche’s US subsidiary to list of ‘problem banks’. Research shows MiFID II has dramatically reduced broker commissions. Wells Fargo chooses Paris and Dublin post-Brexit. Australia files cartel charges...

CCL Regulatory Update: UK Edition - June 2018

This edition includes: FCA List of Cooperation Agreements, FCA Update on Authorisation, Policy Statement on Algorithmic Trading, Final Measures on CFDs and Binary Options, Smooth Introduction for LEIs and Proposal...

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