This edition includes: DFSA Takes Action Against Morgan Gatsby Limited, Summary of Proposed FSRA Changes in Consultation Paper No. 5 of 2019, Economic Substance Update, FATF Hosts Forum for Regulators on Supervising Virtual Assets, Bank of China Settles Money Laundering Case for $4 Million.
This edition includes - FCA Information for Firms During Brexit Implementation Period, Bank of England and FCA Encourages Switch from LIBOR to SONIA, ESMA Update on Governance and Reporting Obligations for Brexit, FCA Becomes AML/CTF Supervisor of UK Cryptoasset Activities.
This edition includes - Introduction of CPD Requirements for SEOs and COMLROs, ADGM Publishes Consultation on Proposed Amendments to Commercial Legislation, Saudi Arabia Bans Firms from Having Both Insurance and Reinsurance Businesses, FCA Fines PPC for Misleading Consumers and Banks.
This edition includes - New Form to Notify FCA of Management Body Changes for Non-SMF Directors, Special Requirements Regarding Whistleblowing Systems and Controls at the Society of Lloyd’s, The Money Laundering and Terrorist Financing Regulation 2019, FCA Fines PPC for Misleading Consumers and Banks.
This edition includes: DFSA Releases Consultation Paper No. 125 – Proposal for Money Services, FSRA Makes Amendments to AML, GEN, COB Modules, FATF Updates Countries on List of Jurisdictions with Strategic Deficiencies, ADGM Signs Collaboration Agreements.
This edition includes: FCA Bans Promotion of Speculative Mini Bonds to Retail Customers, Basel Committee on Banking Supervision on the Interaction between Prudential and AML/CTF, UKFIU Publishes New Glossary Codes and Reporting Routes on SARs, FCA and PRA Publish Decision Notices to Former CEO for Reducing Tax Liability.
This edition includes - DFSA Opens Applications for its 2020 Regulatory Sandbox Winter Cohort, FSRA Publishes Regulatory Guidance for APIs, FCA Fines Tullett Prebon £15.4 million, FATF Releases Best Practices on Beneficial Ownership for Legal Persons.
This edition includes - Treasury Committee on IT Failures in the Financial Services Sector, ESMA Launches a Call for Evidence on the Effects of Product Intervention on CFDs and Binary Options, HM Treasury Publishes Advisory Notice on AML High-Risk Countries, ESMA Updates MiFID II Q&As.
This edition includes - Notification to Scheduled Commercial Banks and Other Institutions, Risk Management Framework for Liquid Funds and Overnight Funds, SEBI Bans Ex-Chairman and Former Directors of CG Power from Accessing the Securities Markets, Amendments to the SEBI (Mutual Funds) Regulations.
This edition includes - Saudi Capital Market Authority Approves Multiple FinTech “Experimental Permits” for Equity Crowdfunding, Thirty One Start-ups to Participate in DIFC FinTech Hive’s 2019 Accelerator Programme, Insider Dealer Sentenced in the UK for Money Laundering Charges.
This edition includes - FCA on Guidance for the Fair Treatment of Vulnerable Customers, Strengthening Individual Accountability – SM&CR, FCA Review on MiFID II Implementation – Research Unbundling Reforms, FCA on the National Private Placement Regime.
This edition includes - SEBI Imposes Monetary Penalties on Various Entities and Individuals, Guidelines for LES in Commodity Derivatives Contracts, Rationalisation of Imposition of Fines on Trading Member or Clearing Members, Disclosure of Divergence in the Asset Classification and Provisioning by Banks.