Latest Articles

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...

This edition includes: DFSA Makes Amendments to Rulebook, ADGM Joins Network for Sustainable Financing, Global Financial Innovation Network Publishes Year Review Report, UK Courts Find Two Guilty of Insider Dealing.

This issue looks at the process for assessing the fitness and propriety of the SMFs, and how to devise training plans to address shortcomings.

LCF accused of misleading investors in the ‘mini bonds’ scandal. Hong Kong tycoon battling with Shaftesbury plc over non-pre-emptive placing. British company ownership secrecy still lingers. Jefferies helped hedge fund partner make side trades that brought about collapse. Ex-Goldman banker...

This issue looks at the documentation updates that will be necessary for the SM&CR to be implemented in our case study firm.

Banking Standards Board survey results published. Two former Barclays traders jailed for roles in Euribor rigging. Socially responsible bribery? Treasury orders FCA to appoint independent reviewer over LCF collapse. FCA talking post-Brexit ‘lower burden’ regulation. StanChart agrees to pay $1.1bn...

The second instalment in our SM&CR case study series looks at how to correctly identify personnel under the SM&CR.

HMRC accused of breaching FCA regulations. MPs demand an end to secret company ownership in the UK crown dependencies. Increase in whistleblowing to the UK’s FCA. Britain’s biggest estate agent fined for anti-money laundering failures. “Manufactured default” of CDS under...

Our case study series charts the preparatory efforts and challenges a typical core firm will encounter in the lead up to SM&CR implementation. Issue one focusses on the project plan.

EU accuses eight banks of rigging the eurozone bond market. Brexit certainty reached on delegated fund management. MiFID II results in new entrant into corporate broking sector. Australia’s Royal Commission report into financial services is published. FCA tells asset managers...

UK’s FCA probing work culture at RBC. Danske now facing a French investigation. Former StanChart employee to plead guilty to Iran sanction breaches charge. Four former Barclays executives deny fraud charges. UK moves out of the top 10 in the...

With eight years of experience in delivering Compliance and AML qualifications in the Middle East we have created a new Diploma that is tailored specifically to the needs of Compliance and AML professionals in the region - The Diploma in...