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Compliance Updater - October 2022
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... -
Understanding the impact of the new Consumer Duty
The impact of the FCA’s Consumer Duty initiative will be significant for firms that are involved in the distribution and/or manufacture of products and services to retail customers. In the FCA’s own words: “Be in no doubt: the Duty will... -
Concerning Conduct: Quarterly Cases - Q3 2022
Cross-party UK MPs call for action on Russian dirty money. DE Shaw former money manager awarded $52 by Finra. Apple lawyer admits to insider trading. Brussels considering EU-wide agency for sanctions. ESMA admits to lacking skills to run consolidated price... -
Compliance Updater - September 2022
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... -
Sanctions - ownership and control issues
Ownership and control of entities has received significant media attention recently following the introduction of the UK Register of Overseas Entities on 1 August 2022. The Register requires foreign entities that own land or property in the UK to provide... -
Reducing fraud within financial services
Cifas, the UK’s leading fraud prevention service, has warned that the cost of living crisis is providing criminals with new opportunities to steal personal and financial information. Here are three things to remind your employees. -
Compliance Updater - August 2022
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... -
Could the drive to innovate compliance do more to weaken the function than improve it?
Peter Haines delves into the stresses that compliance officers face as regulations continue to change, and what this could mean for the future of the compliance function. -
Prevent and detect Modern Slavery
The financial sector has an important role to play in preventing and detecting modern slavery - not only through a firm’s direct operations (e.g. staffing, procurement and supply chains) but also through its approach to investment, lending and client relationships.... -
FCA’s Consumer Duty – what should firms be doing?
The FCA has recently confirmed its approach to the Consumer Duty, with most firms having to implement the new requirements by 31 July 2023. The FCA has acknowledged that this sets a challenging timescale for firms to embed the Consumer... -
The new FCA Consumer Duty and what it means for your firm’s training plan
In July 2022, the FCA published its long-awaited final rules relating to the new Consumer Duty. The obligations being introduced as part of the new Duty are wide-ranging and firms within scope of the rules will need to devote significant... -
Compliance Updater - July 2022
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...
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