CCL Regulatory Update: Middle East Edition - July 2019

This edition includes - ADGM Deepens Financial Collaborations and Economic Ties with China, DFSA Fine Two Abraaj Group Companies for Deceiving Investors and the Regulator, Outcomes of the June FATF Plenary, SEC Charges Portfolio Manager with Mispricing Fund Investments

CCL Regulatory Update: UK Edition - July 2019

This edition includes - FCA Fines Standard Life Assurance Limited for Non-advised Pension Sales Failures, FCA’s Dear CEO Letter to Wealth Management and Stockbroking Firms, FATF Terrorist Financing Risk Assessment Guidance, SM&CR - FCA Updates timeline of Form O.

CCL Regulatory Update India Edition - June 2019

This edition includes - Design of Commodity Indices and Product Design for Futures on Commodity Indices, Credit of Penalty for Short Collection or Non-Collection, SEBI Imposes Monetary Penalties on Various Entities and Individuals, Factors for Assuring Confidentiality in a Settlement Application.

CCL Regulatory Update: Middle East Edition - June 2019

This edition includes - Norwegian Regulator Fines Santander Bank $1 Million for Anti-Money Laundering Breach, ADGM Joins Network for Sustainable Financing, Global Financial Innovation Network Publishes Year Review Report, DFSA Makes Amendments to Rulebook.

CCL Regulatory Update: UK Edition - June 2019

This edition includes - ESMA Launches a Supervisory Action with NCAs on MiFID II Appropriateness, FCA Imposes Decision Notice on Cathay International Holdings Limited, FCA Update on EMIR Notification, Exemption and Reporting, HM Treasury Updates AML/CTF Notice on Controls in Higher Risk Jurisdictions.

CCL Regulatory Update: UK Edition - May 2019

This edition includes - FCA Launches Financial Services Regulatory Partners’ Phoenixing Group, Guidance on Brexit Counter-Terrorism International Sanctions, CMA Issues Investigations Order Against Santander UK PLC, Operational Resilience: A Progress Report from Nick Strange.

CCL Regulatory Update India Edition - May 2019

This edition includes - SEBI Bans Ritman Infra Limited, Framework for the Process of Accreditation of Investors for the Purpose of Innovators Growth Platform, Surrendering and Cancellation of Certificate of Registration of NBFCs, Framework for Innovation Sandbox, FPIs Permitted to Invest in Municipal Bonds.

CCL Regulatory Update: Middle East Edition - May 2019

This edition includes - DFSA Releases Dear SEO Letter Regarding FATCA Reporting Obligations, FRSA Enhances Guidance on Regulation of Crypto Asset Activities, Eight People Arrested for Operating Money Laundering Scheme Through Cryptocurrency, G20 Countries to Devise Crypto Standards.

CCL Regulatory Update: India Edition - April 2019

This edition includes - Extension of Timeline for Implementation of Phase I of UPI with ASBA, Guidelines for Determination of Allotment and Trading Lot Size for REITs and InvITs, Penalty Imposed on NSE and Two of its Former Managing Directors, SEBI Orders Investigation and Forensic Audit of Trading Members.

CCL Regulatory Update: Middle East Edition - April 2019

This edition includes - DFSA Takes Action to Protect the Integrity of Islamic Finance, ADGM’s FSRA Fines Eshara Capital Ltd for Financial Reporting Violation, Oman Likely to Introduce Bankruptcy and Insolvency Law in 2019, Money Laundering Fines in the UK Increase by 91% in 2018

CCL Regulatory Update: UK Edition - April 2019

This edition includes: FCA Bans Binary Options, PRA Publishes Consultation Paper to Amend its Policy on Settlement of Enforcement Action, ESMA on CCPs Stress Test, ESMA Fines Fitch and Draft Brexit SIs for Approval

RegTech Focus | RegTech - What has it ever done for us?

RegTech and FinTech are buzzwords that seem to be peppering conversations and literature in the financial services industry. Whilst financial...