Latest Articles

In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; FCA to improve handling of whistleblowers, FCA warns on Consumer Duty readiness, Treasury select committee call...

Bruce Viney features in this month's episode of The Laundry as a guest speaker where he discusses how to combat Trade-Based Money Laundering.

Anti-money laundering, terrorist financing and proliferation financing remain a key priority for regulators across the globe. Download and share this learning card across your firm to remind employees of common themes that arise across enforcement cases, and what can be...

For those working in financial services, it is important to understand how and why enforcement action is taken against firms. This helps us assess our own firm’s AML controls against the key areas of failure highlighted in the cases, and...

In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; UK FCA publishes its Business Plan for the coming year, UK Treasury planning for lots of...

Peter Haines discusses the ‘new normal’ in terms of hybrid working, and what this means for a firm’s compliance training programme.

In this month's summary of key compliance stories from around the globe, Martin Mitchell looks at some of the regulatory and compliance headlines, including; US regulator forces Silicon Valley Bank to close, Four senior bankers in Switzerland found guilty of...

This quarter's Concerning Conduct, a summary of recent cases concerning culture and conduct, includes; “Overboarding” is a growing issue, Big four in Spain inspected over excessive working hours, EU says half of green claims are misleading, City minister concerned about...

Give your staff insight into the potential risks associated with proliferation financing. Download this focused card to share across your firm. Proliferation financing is the provision of funds or financial services to support the illegal proliferation of weapons of mass...

Proliferation financing can be considered to be the provision or processing of funds which are linked to the illegal manufacture, acquisition, development, transfer or use of chemical, nuclear or biological weapons of mass destruction and their means of delivery and...

A summary of key compliance stories from around the globe in February. UK government consultation issued on crypto regulation. Perella Weinberg banker suspected of insider trading commits suicide. Deutsche Bank’s internal probe finds staff acted in “bad faith”. FCA set...

Financial services regulators place significant focus on the culture of the firms they supervise. They want to see a healthy compliance culture, where business is done in the right way, bringing about positive outcomes for customers. A strong compliance culture...