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.
This edition includes - FCA Agrees Plan for Phased Implementation of Strong Customer Authentication, EBA Advises the European Commission on the Implementation of the Basel III Framework, FATF Consolidated Assessment Ratings.
This edition includes - FSRA Admits 4th RegLab Cohort and Announces Successful RegLab Graduates, Bulgarian Bank Fined $569,930 for Data Breach, DFSA Releases Consultation Paper No. 127 – Miscellaneous Changes, Central Bank of Bahrain Approves First Middle Eastern Cryptocurrency Exchange.
This edition includes - ADGM Deepens Financial Collaborations and Economic Ties with China, DFSA Fine Two Abraaj Group Companies for Deceiving Investors and the Regulator, Outcomes of the June FATF Plenary, SEC Charges Portfolio Manager with Mispricing Fund Investments
This edition includes - FCA Fines Standard Life Assurance Limited for Non-advised Pension Sales Failures, FCA’s Dear CEO Letter to Wealth Management and Stockbroking Firms, FATF Terrorist Financing Risk Assessment Guidance, SM&CR - FCA Updates timeline of Form O.
This edition includes - Design of Commodity Indices and Product Design for Futures on Commodity Indices, Credit of Penalty for Short Collection or Non-Collection, SEBI Imposes Monetary Penalties on Various Entities and Individuals, Factors for Assuring Confidentiality in a Settlement Application.
This edition includes - Norwegian Regulator Fines Santander Bank $1 Million for Anti-Money Laundering Breach, ADGM Joins Network for Sustainable Financing, Global Financial Innovation Network Publishes Year Review Report, DFSA Makes Amendments to Rulebook.
This edition includes - ESMA Launches a Supervisory Action with NCAs on MiFID II Appropriateness, FCA Imposes Decision Notice on Cathay International Holdings Limited, FCA Update on EMIR Notification, Exemption and Reporting, HM Treasury Updates AML/CTF Notice on Controls in Higher Risk Jurisdictions.
This edition includes - FCA Launches Financial Services Regulatory Partners’ Phoenixing Group, Guidance on Brexit Counter-Terrorism International Sanctions, CMA Issues Investigations Order Against Santander UK PLC, Operational Resilience: A Progress Report from Nick Strange.
This edition includes - SEBI Bans Ritman Infra Limited, Framework for the Process of Accreditation of Investors for the Purpose of Innovators Growth Platform, Surrendering and Cancellation of Certificate of Registration of NBFCs, Framework for Innovation Sandbox, FPIs Permitted to Invest in Municipal Bonds.
This edition includes - DFSA Releases Dear SEO Letter Regarding FATCA Reporting Obligations, FRSA Enhances Guidance on Regulation of Crypto Asset Activities, Eight People Arrested for Operating Money Laundering Scheme Through Cryptocurrency, G20 Countries to Devise Crypto Standards.