This edition includes - Re-evaluation for Retail Investment Adviser, BCBS Amends to the Pillar 3 Disclosure Requirements, Directive on Countering Money Laundering by Criminal Law, FCA Bans Former Deutsche Bank Trader for Market Manipulation
This edition includes - Abraaj Capital Limited – DFSA Update, DFSA and Monetary Authority of Singapore Sign FinTech Agreement, ADGM Seeks Market Response to Joint Consultation on Global Financial Innovation Network, ESCA Grace Period to Local Promoters of Foreign Mutual Funds Has Expired
This edition includes - Consultation to Improve Conduct and Communications in Payment Services and E-Money Firms, ESMA to Renew Prohibition on Binary Options, FCA Commences Criminal Prosecution Against Mark Starling
This edition includes - DFSA Signs MoU with Astana Financial Services Authority, DFSA Fines Al Ramz and their Head of IT for Failures to Provide Complete Information, ADGM Launches Crypto Asset Regulatory Framework, Oman Tightens Controls on Remittance and Currency Exchange, Saudi Arabia CMA Approves First FinTech Licenses, FINRA Fines Robo-Advisor.
This edition includes - FCA Statement on ESMA’s Action on CFD Products, ESMA Reminder for UK Based Entitles About Timely Submission of Authorisation, FATF Identifies Jurisdictions with Strategic AML/CTF Deficiencies, Former Senior Bankers Convicted of Fraud, Former Directors of a Consumer Credit Firm Banned for Misleading Customers.
This edition includes - RBI Cancels Certificate of Registration of 138 NBFCs, Overseas Investment by AIFs/VCFs, Meeting Between MAS and SEBI, RBI to Hold Joint Audit of CRA with SEBI
With the publication of the FCA’s ‘near-final’ rules for the extension of the SM&CR, preparation for the new regime moves up a gear. Our complimentary briefing on the 12th September will provide an overview of the rules and explore some of the practical challenges to implementation, as well as considering what firms should be doing now to prepare.
This edition includes - Guidelines for Preferential Issue of Units by InvITs, SEBI (AIF) (Amendment) Regulations, 2018, RBI Imposes Monetary Penalty on Tamilnad Mercantile Bank Limited, Airtel Payments Bank Stopped from Registering New Customers, SEBI Plans Revised Norms for Recovery of Investors' Money
This edition includes - EBA Adds PSD2 to Q&A Tool, European Commission Letter Clarifies Ancillary Activity Test, Financial Sanctions Notice for Iran, FCA Fines Bank for AML Failings
This edition includes - Thirty Three NBFCs Surrender their Certificates of Registration to RBI, SEBI (LODR) (Amendment) Regulations, 2018, RBI Imposes Monetary Penalty on South Indian Bank Limited, RBI Brings in Tough New Performance Checks for Companies Seeking to Invest Abroad
This edition includes - FCA Policy Statement Retires FG 12/15 and FG 14/1, PRA Update on MiFID II Passporting ITS, ESMA One-Stop Company Portal, Reforms on UK Businesses on Foreign Money Laundering, Sanctions and Anti-Money Laundering Bill/Act, FCA and PRA Jointly Fines Mr James Staley
This edition includes - DFSA Expands FinTech Innovation Testing Programme, ADGM Establishes its First Representative Office in Beijing, ADGM and Astana Financial Services Authority Sign Memorandum of Understanding, U.S. Imposes Sanctions on Iran Central Bank Governor, Barclays Boss Fined £642,000 Over Whistleblower Scandal, Vietnam Banker Gets $700 Million Fine and 30-year Jail Term for Embezzlement