Concerning Conduct: Quarterly Cases - Q4 2019

October 2019 Californian sexism lawsuit. Solicitors’ Tribunal finds against Freshfields partner. Fund manager alleged to have sexually harassed juniors. November 2019 PRA warns insurers to improve culture. UBS fined for...

Compliance Updater - December 2019

Baker McKenzie partner embarrassed over kissing episode. FCA to ban promotion of mini bonds. Ex-partner at Deloitte goes to court over misconduct claims. Japan’s public pension fund rules against stock...

CCL Regulatory Update: UK Edition - December 2019

This edition includes: FCA Extends the SM&CR to c. 47,000 firms, Special Requirements Regarding Whistleblowing Systems and Controls at the Society of Lloyd’s, ESMA Q&As, The Money Laundering and Terrorist...

CCL Regulatory Update: Middle East Edition - December 2019

This edition includes: DFSA to Launch Cyber Threat Intelligence Platform, ADGM Holds December Outreach Session, Saudi Arabia Bans Firms from Having Both Insurance and Reinsurance Businesses, FCA Fines PPC for...

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...