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The Compliance Updater

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

  • Compliance Updater - November 2023

    Martin Mitchell | 30th November 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; Former FCA chair warns over plans to regulate crypto, US toughens sanctions on Russia via third...
  • Compliance Updater - October 2023

    Martin Mitchell | 31st October 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; Singapore looks at toughening its AML rules and single family office regime, FCA highlights topline themes...
  • Compliance Updater - September 2023

    Martin Mitchell | 29th September 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 review PEP treatment, initial report findings published, US SEC confirms crackdown on deceptive fund...
  • Compliance Updater - August 2023

    Martin Mitchell | 31st August 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 regulators issue $555m of fines for messaging violations, UBS settles over bond mis-selling, US SEC...
  • Compliance Updater - July 2023

    Martin Mitchell | 31st July 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 calls in bank chiefs over interest on savings, Global regulators recommend exit fees for property...
  • Compliance Updater - June 2023

    Martin Mitchell | 29th 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; UK signs pact with EU to increase co-operation on financial services, SEC launches lawsuits against crypto...
  • 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...
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