- Posts in 2015
In this edition we review regulatory events and initiatives for the month of November 2015.
In this month's edition, DFSA fine ABN AMRO for AML failings, DIFC review Data Protections Laws, AML Obligations in the UAE: The Recent Changes and Santander AML Investigation
This edition includes - RBI Imposes Monetary Penalty on Dhanlaxmi Bank Ltd, Dr. Raghuram Rajan Appointed as Vice-Chairman on BIS Board, SEBI Signs Memorandum of Understanding on Bilateral Cooperation with the Bangladesh Securities and Exchange Commission
This edition includes - RBI Signs MoU on “Supervisory Cooperation and Exchange of Supervisory Information” with the Bank of Botswana, Central Bank of UAE and Bangladesh Bank, RBI Opens Sub-offices at Aizawl and Imphal,
In this edition we review regulatory events and initiatives for the month of October 2015.
In this month's edition, DFSA Outreach for Representative Offices, JPMorgan Wins Dismissal of Whistle-Blower Lawsuit in U.S and FBI and DOJ Investigate Goldman Sachs for Malaysian Scandal Allegations
Cant is never a nice thing from a government, or a regulator, but it is a frequent enough occurrence. The U-turn over the reversal of the burden of proof under the new SM&CR announced by the Treasury on 15th October 2015 is a clear example of that. On Thursday the Treasury published the Bank of England and Financial Services Bill which had its first reading in the House of Lords the previous day.
In this edition we review regulatory events and initiatives for the month of September 2015.
In this month's edition, The Wolfsburg Group Issue Business Risk Assessment Guidance and FAQs, FINRA Censures and Fines UBS for Lack of Suitability, Stiffer Penalties for Cybercrimes
This edition includes - RBI Seeks Feedback on Draft Framework on ECBs , DICGC Committee Recommends Differential Premium for Banks in India, India’s External Debt as at the End of June 2015
This month, DFSA Signs MoU with Australian PRU, SEC Investigates PIMCO Over Fund Valuations, Caesars Palace Fined for AML Weakness and UBS AG Fined $1.7Million for OFAC Breaches
This edition includes - RBI Grants “In-principle” Approval to 11 Applicants for Payments Banks, Implementation of the Multilateral Competent Authority Agreement (MCAA) and Foreign Account Tax Compliance Act (FATCA), Notifications Under Finance Act, 2015 - Merger of FMC with SEBI