Archive: 2019

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...

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...

CCL Regulatory Update: UK Edition - October 2019

This edition includes: FCA Letter on Expectations for SARs and STORs, Bank of England Stress Testing Results, ESMA Updates MiFID II Q&As, HM Treasury Approves Changes to JMLSG – Syndicated...

CCL Regulatory Update: Middle East Edition - October 2019

This edition includes: DFSA Opens Applications for its 2020 Regulatory Sandbox Winter Cohort, FSRA Publishes Regulatory Guidance for APIs, SCA Releases Draft Regulations on Crypto Assets, FATF Releases Draft Guidance...

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...