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...

CCL Regulatory Update: UK Edition - July 2018

This edition includes: Near-Final Rules on the Extension of SM&CR, PRA Sets Out Proposed Rules to Extend SM&CR, ESMA Reminder for UK Based Entitles About Timely Submission of Authorisation, FATF...

CCL Regulatory Update: Middle East Edition - June & July 2018

This edition includes: DFSA Holds Annual Supervision Outreach Session, ADGM Launches Crypto Asset Regulatory Framework, Oman Tightens Controls on Remittance and Currency Exchange, FATF Plenary Meeting Outcomes, Deutsche Bank Fined...

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...