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Latest Articles

Stay up to date through our range of news channels, designed to provide you with concise updates on topical compliance issues.

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  • Compliance Updater - November 2019

    30th November 2019 | The Compliance Updater
    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 over its new London HQ. UBS fined for overcharging Hong...
  • SM&CR Case Study Series - Issue 9

    1st November 2019
    This issue looks at the training plan for conduct staff.
  • Compliance Updater - October 2019

    31st October 2019 | The Compliance Updater
    Burford Capital launches a legal action against the LSE. Prudential fined £24m by the FCA over annuity sales. Ex-trader claims Citi framed him. SEC preparing new limits on shareholders agitating for change. Woodford fired from flagship fund. Non-financial misconduct in...
  • SM&CR Case Study Series - Issue 8

    1st October 2019
    This issue focusses on the necessary amendments to the existing systems and controls to embed SM&CR into business as usual.
  • Compliance Updater - September 2019

    30th September 2019 | The Compliance Updater
    Sweden state pension fund fires CEO over internal rule breach. Banker in insider dealing investigation charged for deleting messages. Ex-Goldman banker told to pay £7.3m in corruption case. Clearing house agrees to $20m penalty for risk failures. Three JPMorgan metals...
  • SM&CR Case Study Series - Issue 7

    1st September 2019
    This issue focusses on the design and delivery of training for the certification staff.
  • Compliance Updater - August 2019

    31st August 2019 | The Compliance Updater
    Global regulators’ privacy worries over Facebook cryptocurrency. Malaysia charges seventeen Goldman staff over 1MDB scandal. Allegations of market manipulation against short seller Muddy Waters. Claims of a $38bn fraud at GE. Holiday season thoughts. Relaxing rules for Norway’s $1 trillion...
  • SM&CR Case Study Series - Issue 6

    1st August 2019
    In this issue, Sam assesses the fitness of her certification staff and what training and evidence will be required
  • Compliance Updater - July 2019

    31st July 2019 | The Compliance Updater
    Swiss v EU spat – is this a signal for the post-Brexit world? Orcel set to sue Santander for €100m. UK’s FCA plans ban on bitcoin derivatives for retail investors. Danske claimed to have sought to discredit whistleblower. FCA reveals...
  • SM&CR Case Study Series - Issue 5

    1st July 2019
    This issue focusses on devising an SM&CR training plan for senior managers.
  • Compliance Updater - June 2019

    30th June 2019 | The Compliance Updater
    SEC agrees to introduce best interest rule for stockbrokers. Woodford problems highlight the failure of the ACD. ‘Ethical failures’ at US arm of KPMG. PWC faces £4.6m audit penalty. RBS report described as a ‘whitewash’. Lloyds freezes 8,000 offshore accounts....
  • CCL Regulatory Update: UK Edition - June 2019

    Carwyn Evans | 30th June 2019
    This edition includes: FCA Quarterly Consultation, PRA Regulated Fees and Levies Proposal 2019/20, EBA Publishes Opinion on Strong Customer Authentication on PSD2, HM Treasury Updates AML/CTF Notice on Controls in Higher Risk Jurisdictions, Bank of Scotland Fined for Failing to...
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