Dubai Financial Services Authority CPD Requirements

Senior Executive Officer's (SEOs), Compliance Officer (COs) and Money Laundering Reporting Officers (MLRO) of DFSA authorised firms must complete a CPD requirement of 15 hours’ structured activity per year. This...

Compliance Updater - March 2020

Coronavirus and compliance. Deutsche Bank’s UK difficulties. Freedom of information response reveals seven breaches by UK funds. Deutsche Bank cleared funds as correspondent for Jho Low. Swedbank faces possible sanction...

CCL Regulatory Update: UK Edition - March 2020

This edition includes: FCA’s Speech on Approach to Treating Customers Fairly, COVID-19 Regulatory Reporting Amendments, EBA Calls for Improvement on Pillar 3 Disclosures, FATF Publishes Guidance on Digital ID.

CCL Regulatory Update: Middle East Edition - March 2020

This edition includes: DFSA Implements Changes to the SME Listing Regime, ADGM Launches Support Measures for Registered Businesses to Counter the Impact of COVID-19, UAE Central Bank Issues Regulation on...

Compliance Updater - February 2020

CEO-chair combination to be challenged. FCA suffers embarrassing compliance failure. Deutsche probing Saudi wealth management bribes. Thiam ousted to protect Credit Suisse’s reputation. Work-life balance plans for LSE. Long lens...