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 and FinTech are buzzwords that seem to be peppering conversations and literature in the financial services industry. Whilst financial...
This edition includes - FCA and BoE on TPR, BoE ACS for 2019 Banking Stress, BCBS on Cryptoassets, Trace Report on Corruption, FCA Fines the Carphone Warehouse, Brexit Statutory Instruments
This edition includes - DFSA Hosts Financial Crime 2019 Conference, ESCA, ADGM and DFSA Launch Fund Passporting Legislation, ADGM Takes Part in Annual Privacy ‘Sweep’ to Contribute to Global Data Protection Compliance Efforts, CBB Allows Short-Selling and Lending of Securities, German Financial Regulator Issues Paper on Blockchain Securities Regulation
This edition includes - DFSA Suspends Licence of Morgan Gatsby Limited, ADGM & The Australian Securities and Investments Commission Sign Agreement to Enhance Collaboration, ADGM Courts Establish Digital Notary Public Office, EU Reject Proposed Blacklisting of Saudi Arabia, Iran Given Four Months to Tighten Laws Against Money Laundering
This edition includes - MoU Between FCA and ICO, PRA Fees and Levies: Changes to Periodic and Transaction Fees, EBA on Outsourcing Arrangements, FATF Meeting Outcome and HMT Advisory Notice on AML/CFT, OFSI’s First Fine for Sanction Breaches
This edition includes - DFSA Enforces Fine in the UK Against Sanctioned Individual, ADGM Launches Sustainable Finance Agenda, Iran Approves Anti-Money Laundering Bill to Ease Foreign Trade, Transparency International Release 2018 Corruption Perception Index
This edition includes - FCA Consults on Brexit, FCA ‘Dear CEO’ Letter, ESMA on Crypto-Assets and ICOs, EC Consults on Consumer Credit Directive, New Economic Crime Strategic Board, Financial Regulators’ Powers and MiFI
This edition includes - FCA Update on Brexit Preparation, The Securitisation Regulations 2018, Regulation on Cross-Border Distribution of Investment Funds – ECON Adopts Legislation, Amendments in Market Abuse (EU Exit) Regulations 2018, FCA Fines and Bans NED, FCA Decision to Fine CEO of Bank for Ineffective AML Systems
This edition includes - DFSA Releases Consultation Papers, No.121, No. 122 and 124, ADGM Concludes 1st Industry E-KYC Utility Project with UAE Financial Institutions, CCL Curates Panel at the Central Bank of the UAE’s Strategy Retreat, CMCs to be Regulated by the FCA, Former NED Banned and Fined by FCA.
This edition includes - Brexit Scenarios – BoE Response to Treasury, ESMA on Managing Risks on a No-Deal Brexit in the Area of Central Clearing, The Sanctions and AML Act 2018 (SAMLA) Regulations 2018, PRA Fines Former Board Members of Japanese Investment Bank for Failure to Disclose Information
This edition includes - Key Changes Introduced by the New DIFC Companies Law Regime, DFSA Signs MoU with Bank Negara Malaysia, ADGM FinTech, FSRA Release Consultation Paper on Domestic Fund Passporting Rules, MENAFATF Hold Plenary Meeting, Transparency International Raise Concerns on German Real Estate Money Laundering.