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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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  • Concerning Conduct: Quarterly Cases - Q2 2020

    Martin Mitchell | 15th July 2020 | Concerning Conduct
    Insurance and the pandemic. Expenses scandal and conflict management at the world’s biggest sovereign wealth fund. Potential for backlash for big US groups. Judge rules in favour of LSE over manipulation claim. Softbank CEO says he is misunderstood – just...
  • Compliance Updater - June 2020

    Martin Mitchell | 30th June 2020 | The Compliance Updater
    FCA to bring test case on business interruption wordings. HSBC and StanChart facing difficulties over supporting Beijing security law. Barclays facing latest battle over crisis fundraising. Simon Property Group claims material adverse change to drop $3.6bn deal. FCA hits Lloyds...
  • Compliance Updater - May 2020

    Martin Mitchell | 31st May 2020 | The Compliance Updater
    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...
  • Compliance Updater - April 2020

    Martin Mitchell | 30th April 2020 | The Compliance Updater
    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...
  • Concerning Conduct: Quarterly Cases - Q1 2020

    Martin Mitchell | 16th April 2020 | Concerning Conduct
    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...
  • CCL Academy Update - April 2020

    14th April 2020 | The Compliance Updater
    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
  • Dubai Financial Services Authority CPD Requirements

    Peter Haines | 1st April 2020
    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...
  • Compliance Updater - March 2020

    Martin Mitchell | 31st March 2020 | The Compliance Updater
    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...
  • SM&CR Virtual Event

    25th March 2020
    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.
  • Compliance Updater - February 2020

    Martin Mitchell | 29th February 2020 | The Compliance Updater
    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...
  • Compliance Updater - January 2020

    Martin Mitchell | 31st January 2020 | The Compliance Updater
    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...
  • Concerning Conduct: Quarterly Cases - Q4 2019

    Martin Mitchell | 30th January 2020 | Concerning Conduct
    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....
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