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Compliance Updater - August 2024
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 regulator reports on fraud reimbursement rates, FCA chair reveals the identity of a whistleblower, Two... -
Compliance Updater - July 2024
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 approves listing rules overhaul, Bill Hwang found guilty of fraud and market manipulation, FCA... -
Concerning Conduct: Quarterly Cases - Q2 2024
This quarter's Concerning Conduct, a summary of recent cases concerning culture and conduct, includes; UK and US to co-operate on AI testing, Ajax suspends CEO over insider trading, EY accused of asset stripping, but gets a bit of a break... -
Compliance Updater - June 2024
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 set to approve IPO overhaul, Hedge fund made $760k profit after call with banker,... -
The DFSA’s approach towards the prevention of greenwashing
Regulators globally are taking steps to address the problem of greenwashing and in this article, we outline the approach taken by the Dubai Financial Services Authority (DFSA). -
Compliance Updater - May 2024
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; Carer and assistant to crypto supervillain sentenced to more than six years for money laundering, Political... -
UK regulator implements new Anti-Greenwashing Rule
In November 2023, the FCA confirmed that it would be introducing various measures relating to sustainability disclosures, including a new set of labels for investment funds, as well as a new ‘Anti-Greenwashing’ (AGW) Rule. The AGW rule is the first... -
Compliance Updater - April 2024
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; Opposition mounts over FCA’s “name and shame” plans, FOS “debanking” complaints up 44%, BoE warns banks... -
UK regulator warns firms over anti-money laundering failings
On 5th March 2024, the FCA issued a ‘Dear CEO’ letter to Annex 1 firms (i.e. firms that are supervised by the FCA for AML/CTF purposes only) which reiterated the importance of the ‘…fight against financial crime…’. It also sets... -
Compliance Updater - March 2024
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 sets out its priorities for 2024/25, FCA announces investigation into super-complaint re personal guarantees, US... -
Concerning Conduct: Quarterly Cases - Q1 2024
This quarter's Concerning Conduct, a summary of recent cases concerning culture and conduct, includes; Global minimum tax for multinational companies starts, Battle for talent to sell alternatives to the wealthy, Tui board backs delisting from London and shareholders agree, Fake... -
Compliance Updater - February 2024
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; Gap insurance in the FCA’s sights under the Consumer Duty, UAE removed from FATF’s grey list,...