Compliance Updater - May 2021

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...

Compliance Updater - April 2021

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...

CCL Regulatory Update: UK Edition - April 2021

This edition includes: FCA Publishes Discussion Paper on Strengthening Financial Promotion Rules, PRA Publishes Consultation Paper to Correct Remuneration Definition, ESMA Updates SFTR Q&As, First Sanctions in UK Under New...

CCL Regulatory Update: Middle East Edition - April 2021

This edition includes: DIFC Announces Proposed Intellectual Property Regulations for Consultation, FSRA Introduces New Regulatory Framework for Third Party Financial Technology Services, CBUAE Launches Intraday Liquidity Facility, Update to the...

Compliance Updater - March 2021

Deutsche Bank investigating sales of complex currency products to SMEs in Spain. Greensill Capital and Greensill Bank near collapse. Deloitte agrees $80m settlement over 1MDB. Report published on the UK...