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HSBC reports suspicions over Singapore energy trading firm. BaFin looking into market manipulation and director dealing at Wirecard. KPMG facing £250m lawsuit over Carillion audits. Whistleblower reports to UK’s FCA increase. Deutsche Bank criticised by New York Fed. Coronavirus inspires...

Professional services firms’ attempts to cope with the coronavirus. Concerns over data security and privacy on Zoom. Morrisons wins appeal over data leak. UK FCA eases emergency fundraising requirements. Softbank facing legal challenge from WeWork. Insurers told by FCA to...

Coronavirus and conduct. EY acts on conduct failings with “belonging” workshops. Goldman Sachs makes qualified diversity pledge. Citigroup suspends bond trader over alleged food theft. Deutsche probing Saudi wealth management bribes. Senior UK civil servant resigns accusing Home Secretary of...

Since the outbreak of coronavirus started to impact our clients and our own staff, we have made several changes to the way we work, deliver training and interact with our clients. Read this update for highlights

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 article provides details of this requirement and looks at how...

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 breaches and a $400m fine for AML deficiencies. NMC Health...

In line with precautionary measures being taken to reduce the risk posed by COVID-19, our SM&CR breakfast briefing presentations were recorded by our speakers and are now available on-demand.

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 reveals UK Brexit plan for financial services. “Equivalence” needs to...

Challenger audit firm RSM misstates its own accounts. Cyber criminals attack Travelex. FCA attempts to require clarity from banks re interest rates. Dixons Carphone fined £500,000 for data breach. Citadel agrees $97m in Chinese settlement re suspected illegal acts. UK’s...

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 overcharging Hong Kong clients. Concerns over ethical breaches at G4S....

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 lending. M&G halts trading in its £2.5bn open-ended property fund....

SM&CR case study series - our series concludes with a handy SM&CR checklist. Click for details