Knowledge Centre
- Posts in 2017
CCL Regulatory Update: India Edition - November 2017
This edition includes - Fifteen NBFCs Surrender Certificates of Registration to RBI, RBI Excludes Name of Commonwealth Bank of Australia from its Second Schedule, SEBI Imposes Fine on Aditya Birla Money
CCL Regulatory Update: UK Edition - November 2017
This edition includes - Consultation and Discussion on FCA Code of Conduct and Principle 5, PRA Adjustment on Fees and Levies, ECB Banking Supervision in Light of Brexit, FATF’s Fourth Round of AML/CFT Mutual Evaluations, FCA Decides to Ban Tom Hayes
CCL Regulatory Update: Middle East Edition - November 2017
This edition includes - DFSA Grants Sarwa Digital Wealth Ltd In-Principle Approval for Innovation Testing Licence, ADGM Proposes New Remote Membership Framework, Central Bank of the UAE Releases Circular Regarding Saudi Arabia Corruption Arrests, FATF Updates Countries on List of Jurisdictions with Strategic Deficiencies
CCL Regulatory Update: Middle East Edition - October 2017
This edition includes - DFSA Releases Consultation Paper No. 115: Enhancing Our Funds Regime, ADGM and the French Financial Regulator Authorité Des Marchés Financiers Link Up to Advance Financial Innovations and Efforts, Saudi Arabia to Ease Foreign Investment Regulation, French Regulator Launches 'UNICORN' ICO Support Project, FINMA Investigating Initial Coin Offering Procedures, FCA Fines Merrill Lynch £34.5 Million For Failing to Report Transactions
CCL Regulatory Update: India Edition - October 2017
This edition includes - SEBI (IFSC) Guidelines, 2015 – Amendments, RBI Imposes Fine on YES Bank and IDFC Bank over Compliance Issues, SEBI Bans Fourteen Companies from Accessing the Capital Markets, RBI Sets Up High Level Task Force on PCR in India
CCL Regulatory Update: UK Edition - October 2017
This edition includes - FCA Policy Development Update: October 2017, PRA and FCA Updates to Comply with MiFID II, Ethiopia as a New High-Risk Third Country Under 4MLD, FCA Cancels Firm’s Part 4 permission and Penalises Sole Director, FCA Finds Partner of Firm to Not be Fit and Proper
CCL Regulatory Update: Middle East Edition - September 2017
This edition includes - DFSA Issues Statement on Cryptocurrencies, ADGM Launches Electronic Prudential Reporting System, Bahrain Open to Bitcoin and Digital Currency Experimentation, Saudi Arabia Loosens Rules for Licensing Asset Management and Other Investment Firms.
CCL Regulatory Update: India Edition - September 2017
This edition includes - Cyber Security and Cyber Resilience Framework for RTAs, RBI Includes 4 Banks in its Second Schedule, SEBI Orders for Forensic Audit of 3 firms – Shell Companies, SEBI Imposes a Fine of INR 9 lacs on a Former Official of ING Vysya Bank
CCL Regulatory Update: UK Edition - September 2017
This edition includes - First Market Investigation Reference to the Competition and Markets Authority, FCA Handbook Changes, PRA’s Current Focus to IFRS 9, Dunraven Finance Ltd Placed Under Administration, Charles Palmer Fined for Breaching Principle 6 for Approved Persons
CCL Regulatory Update: Middle East Edition - August 2017
This edition includes - DFSA Alerts Public to Tax-Related Scams, ADGM and PwC Partnership to Focus on Financial Crime Prevention, First FinTech Bridge Between the UAE and the Capital Markets Authority of Kenya, Bahrain Issue Crowdfunding Regulations, Ex-Honduran Minister Pleads Guilty in US Money Laundering Case
CCL Regulatory Update: India Edition - August 2017
This edition includes - Minutes of the MPC Meeting Held on 1st and 2nd August 2017 at the Reserve Bank of India, Mumbai, Action Against ELCs and its Promoters/Directors Pending Exit Offer to the Shareholders, SEBI Directs Stock Exchanges to Act Against 331 Suspected Shell Companies
CCL Regulatory Update: Middle East Edition - July 2017
This edition includes - Two UAE Firms Falsely Claim to be DFSA Regulated, FSRA Issue Dear SEO Letter Regarding Qatar’s Terrorist Financing, U.S and Qatar Sign Agreement on Combating Terrorism Financing, Watchdog Removes Taiwan from Money Laundering List
