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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...

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...

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...

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...

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...

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,...

Almost every country in the world prohibits the payment of bribes to their own government officials, but the scale and ubiquity of bribery and corruption continue to worsen. Bruce Viney discusses the rise in bribery and corruption, some of the...

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 about to gather detail on non-financial misconduct., Australia’s ASIC cracking down on greenwashing, UK car...

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; Insider dealing trial starts against former Goldman Sachs analyst, Pictet agrees $123m settlement after helping clients...

This quarter's Concerning Conduct, a summary of recent cases concerning culture and conduct, includes; Banks cut more than 60,000 jobs in 2023, BoE officials suggest tighter liquidity rules for money market funds, Businesses with better gender balance have higher return...

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; Former FCA chair warns over plans to regulate crypto, US toughens sanctions on Russia via third...

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; Singapore looks at toughening its AML rules and single family office regime, FCA highlights topline themes...