Archive: 2018

Compliance Updater - September 2018

Adoboli facing deportation from the UK to Ghana. Danske’s Estonian branch estimated to have handled $235bn of foreign client money over 9 years. BA suffers major website hack. Unilever details...

Compliance Updater - August 2018

LGIM facing whistleblower accusations of risk and compliance failures. New EU rules come in for CFDs. Republican congressman insider dealing during a picnic at the White House. Trump-style tweet may...

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...