Latest Articles

Financial and trade sanctions are being issued at an unprecedented rate, so it is vital that all staff are aware of sanctions risk and understand how sanctions affect their business activities. The UK sanctions regime must be considered, as well...

The FCA recently published a statement about the competency and capability of Heads of Compliance and MLROs, providing advice on what is required for them to be effective in their roles. The UK regulator advised that Heads of Compliance and...

UK Office of Financial Sanctions Implementation stats. Credit Suisse facing criminal charges over mafia drug money. US DoJ confiscates $3.6bn in cryptocurrency stolen in Hong Kong hack. FCA orders deletion of paid-for influencer posts. FCA “dear CEO” re Russian cyber...

With the increase in remote and hybrid working arrangements, it’s important for all staff to understand their responsibilities when working remotely. Here are three best practices to download and share with your front and back-office employees.

Ex-Swedbank CEO charged with fraud and market manipulation. Lawyers Mishcon de Reya fined for money laundering failings. UK’s FCA to review cost of market data. UK’s PRA concerned over cloud reliance. FCA set to regulate digital currency adverts. Two former...

Listing rules changes take effect in the UK. Dubai DFSA fines manager of REIT over “misleading statements”. FCA launches second consultation on consumer duty. Deutsche Bank fined €8.7m by BaFin for rate-rigging prevention control failings. EU fines four banks for...

Goldman Sachs removes essential staff’s free breakfast and lunch. PwC allows UK staff to work remotely but with risk of pay cut. Ireland falls into line on global tax. US not yet. UK accounting regulator warns over “alternative performance measures”....

As the demand for financial services products and services with green or ESG (Environmental, Social and Governance) credentials increases, so too does the risk of greenwashing. Here are three best practices to download and share with your employees.

Barclays CEO steps down over links to Epstein. Basel III banking standards implementation to be delayed. Grant Thornton fined over audit failures at Interserve. FCA begins to act against ‘greenwashing’. London attracts its first SPAC after rules reform. UK plans...

Bribery and corruption can have a devastating impact on a business, a country's economy, and society. Here are three best practices and some of the key areas of bribery for you to download and share with your employees.

Ex-Union Investment fund manager faces three-and-a-half years in jail. Six Swiss bankers accused by US of aiding $60m tax evasion. Wise CEO tax breach could bring FCA sanction. NatWest admits to AML failings over Bradford gold dealer. Swiss police seize...

Culture has always been vital to an organisation’s reputation and long-term success, and it remains central to how regulators supervise financial services firms. A culture of ethics and integrity doesn’t happen by accident, and it needs more than policies and...