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The Compliance Updater

A concise monthly update of compliance-related stories in the press.

  • Compliance Updater - May 2023

    Martin Mitchell | 5th June 2023 | The Compliance Updater
    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 to improve handling of whistleblowers, FCA warns on Consumer Duty readiness, Treasury select committee call...
  • Compliance Updater - April 2023

    Martin Mitchell | 27th April 2023 | The Compliance Updater
    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 publishes its Business Plan for the coming year, UK Treasury planning for lots of...
  • Compliance Updater - March 2023

    Martin Mitchell | 31st March 2023 | The Compliance Updater
    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; US regulator forces Silicon Valley Bank to close, Four senior bankers in Switzerland found guilty of...
  • Compliance Updater - February 2023

    Martin Mitchell | 28th February 2023 | The Compliance Updater
    A summary of key compliance stories from around the globe in February. UK government consultation issued on crypto regulation. Perella Weinberg banker suspected of insider trading commits suicide. Deutsche Bank’s internal probe finds staff acted in “bad faith”. FCA set...
  • Compliance Updater - January 2023

    Martin Mitchell | 31st January 2023 | The Compliance Updater
    A summary of key compliance stories from around the globe in January. Record fine for H20 and CEO banned for five years. OECD warns pension funds over illiquid asset risks. Coinbase agrees $100m deal with New York regulators over AML...
  • Compliance Updater - December 2022

    Martin Mitchell | 30th December 2022 | The Compliance Updater
    A summary of key compliance stories from around the globe in December. FCA issues first fine over British Steel pension mis-selling. FCA warns firms over CFD mis-selling. NCA anti-kleptocracy cell makes three arrests. City regulators told to up their game...
  • Compliance Updater - November 2022

    Martin Mitchell | 30th November 2022 | The Compliance Updater
    A summary of key compliance stories from around the globe in November. New York judge drops charges for Libor-rigging against Hayes. £12m payout for treating clients unfairly during the Covid pandemic. OFSI publishes its annual review including key sanctions stats....
  • Compliance Updater - October 2022

    Martin Mitchell | 31st October 2022 | The Compliance Updater
    A summary of key compliance stories from around the globe in October. AJ Bell chair quits over FCA corporate governance decision. Kim Kardashian to pay $1.26m to settle crypto charges. KPMG fined in Dubai over Abraaj audit. Leonteq and EY...
  • Compliance Updater - September 2022

    Martin Mitchell | 29th September 2022 | The Compliance Updater
    A summary of key compliance stories from around the globe in September. NatWest refunds £600k over “bundling”. Hedge fund manager facing DoJ charges over exchange rate manipulation. UK FCA puts Australian takeover in doubt. Spanish police arrest one of Europe’s...
  • Compliance Updater - August 2022

    Martin Mitchell | 31st August 2022 | The Compliance Updater
    A summary of key compliance stories around the globe in August. SEC charges eleven people over $300m crypto Ponzi scheme. Renowned City figure fined £80,000 for disclosing inside information. Credit Suisse in legal fight with SoftBank. Entain faces £17m fine...
  • Compliance Updater - July 2022

    Martin Mitchell | 31st July 2022 | The Compliance Updater
    A summary of key compliance stories around the globe in July. Crypto fund’s ETF application rejected by SEC. EU finalises regulations for crypto assets trading. Credit Suisse facing huge Asia backlog over source of wealthy clients’ funds. Legal battle over...
  • Compliance Updater - June 2022

    Martin Mitchell | 30th June 2022 | The Compliance Updater
    FCA puts Credit Suisse on watchlist. Claim filed against Woodford fund. Elliott Management claims $456m from LME over cancelled nickel trades. BoE orders banks to improve plans to “fail safely”. JPMorgan wins “fraud” case against Nigeria. Bankers lose jobs over...
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