Knowledge Centre
- Posts in 2017
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: 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: 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: 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
Regulatory Insights: MiFID II – Review of FCA Policy Statement
The FCA issued its final Policy Statement on MiFID II on 3rd July. Two of CCL’s directors, Stuart Holman and Atma Dhariwal, discuss key points coming out of this important step in MiFID II’s implementation in the UK.
CCL Regulatory Update: Middle East Edition - June 2017
This edition includes - GCC Countries Cut Diplomatic Ties with Qatar, Fourth EU Money Laundering Directive Effect on DIFC Branches and Subsidiaries, ADGM Makes Changes to Fund Regulations, Oman Issues Sukuk Regulation, DIFC Amendments to Legislation
CCL Regulatory Update: UK Edition - June 2017
This edition includes - FCA Consults on the Implementation of the Fourth Money Laundering Directive, ESMA Updates its MiFID II Q&As, ESMA Guidelines on MiFID II Product Governance Requirements
CCL Regulatory Update: Middle East Edition - April & May 2017
This edition includes DIFC Announces Enactment of DIFC Laws Amendment Law 2017, ADGM Introduces First Calibrated Venture Capital Managers Framework in MENA Region,FCA and SFC Sign FinTech Cooperation Agreement, Bank of Ireland Fined for Breaching Money Laundering and Terror Financing Rules.
