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RegTech Focus | RegTech - What has it ever done for us?

RegTech and FinTech are buzzwords that seem to be peppering conversations and literature in the financial services industry. Whilst financial...

CCL Regulatory Update: India Edition - March 2019

This edition includes - Surrendering and Cancellation of Certificate of Registration of NBFCs, Review of Investment by FPIs in Debt Securities, Key Decisions at the SEBI Board Meeting Held on 1st March 2019, SEBI Seeks Greater Powers to Inspect Books, Financial Records of Listed Firms

CCL Regulatory Update: UK Edition - March 2019

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

CCL Regulatory Update: Middle East Edition - March 2019

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

CCL Regulatory Update: Middle East Edition - February 2019

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

CCL Regulatory Update: UK Edition - February 2019

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

CCL Regulatory Update: India Edition - February 2019

This edition includes - Notification to Liquidity Adjustment Facility (LAF) Participants, Revision in Haircut on Central Government Securities (G-Sec) Accepted as Collateral, SEBI Orders Impounding of Illegal Gains, Intimation of Criminal Proceedings Against Broker by SEBI, Fines Imposed by SEBI and RBI.

CCL Regulatory Update: India Edition - January 2019

This edition includes - SEBI Fines Ten Entities for Fraudulent Trading in the Shares of Mindvision Capital, SEBI Looks at Tightening Rules for Liquid Funds, New Data Privacy Norms for FPIs Under Consideration, Fines Imposed by SEBI and RBI

CCL Regulatory Update: Middle East Edition - January 2019

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

CCL Regulatory Update: UK Edition - January 2019

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

CCL Regulatory Update: UK Edition - December 2018

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

CCL Regulatory Update: Middle East Edition - December 2018

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.

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