Latest Articles

The Pandora Papers is the latest (and largest) offshore data leak to hit the headlines. Like the Panama Papers (2016) and the Paradise Papers (2017) it exposes the secret offshore affairs of wealthy and powerful individuals – including more than...

Robinhood fined record amount and customer suicide cited. Watchdog concludes Greensill pressure to access Covid loan scheme was “unusual”. Regulatory risk hits investors in Didi Chuxing. Analyst who recommended Wirecard until its insolvency reinstated by Commerzbank. JPMorgan trader declared as...

Theranos founder on trial in the US. WhatsApp fined €225m for GDPR breaches. FCA chair calls for more powers over crypto. Britain considering ditching EU data rule on AI. Dear CEO from FCA re trade finance. FCA director says UK...

A summary of key compliance stories around the globe in August.

Finra fines Robinhood record amount. Deutsche slip up on staffing means no HK IPO sponsor role. FCA proposes reforms to UK listing rules. EU plans Anti-Money Laundering Authority to fight dirty money in the single market. Lloyds Banking Group fined...

Volkswagen’s April Fool’s joke sees ADRs up sixteen per cent. Firms try to address burnout with bonuses and luxury gifts for staff. Fink addresses BlackRock behavioural failings. Procurement civil servant held second role with Greensill Capital. UK Takeover Panel addresses...

Starting to study towards one of the CISI’s exams? Here are five key tips to enable you to focus your efforts, save on preparation time and boost your chances of success.

Trafigura flags up suspicious Gupta invoice. G7 heralds “starting point” on road to multinational tax reform. Australia launches major money laundering probe, including at NAB. Lithuanian fintech loses licence over Wirecard. Basel proposes tough capital rules on cryptocurrency exposures. BNP...

Germany’s BaFin warns Binance over “stock tokens”. Archegos preparing for insolvency. Malaysian state fund suing banks for breach of duties. FCA formally investigating Greensill Capital. SFO investigating Gupta Family Group Alliance. Credit Suisse facing pressure to compensate clients over Greensill....

For firms that conduct one or more MiFID listed investment activities, the FCA’s new Investment Firm Prudential Regime (‘IFPR’) may present unexpected and complicated consequences. Read this article to find out more.

In March 2021, the UAE Ministry of Economy issued Cabinet Resolution No. (16) of 2021 in line with efforts to combat money laundering and terrorist financing. The Resolution lists twenty-six violations and corresponding fines. Our checklist will help DNFBPs to...

Does the oversight of family offices need to be strengthened? Doubts over invoices factored by Greensill Capital. “Worst IPO in London’s history” is a blow to regulatory plans. Biden presents plans for taxes based on sales. Denmark charges six with...