Knowledge Centre
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: 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.
CCL Regulatory Update: UK Edition - November 2018
This edition includes - Brexit Scenarios – BoE Response to Treasury, ESMA on Managing Risks on a No-Deal Brexit in the Area of Central Clearing, The Sanctions and AML Act 2018 (SAMLA) Regulations 2018, PRA Fines Former Board Members of Japanese Investment Bank for Failure to Disclose Information
CCL Regulatory Update: Middle East Edition - November 2018
This edition includes - Key Changes Introduced by the New DIFC Companies Law Regime, DFSA Signs MoU with Bank Negara Malaysia, ADGM FinTech, FSRA Release Consultation Paper on Domestic Fund Passporting Rules, MENAFATF Hold Plenary Meeting, Transparency International Raise Concerns on German Real Estate Money Laundering.
CCL Regulatory Update: UK Edition - October 2018
This edition includes - FCA and SFC Entered into a MoU on Mutual Recognition of Funds, PRA Update on Pillar II Reporting, ESMA Withdraws MiFID Automated Trading Guidelines, Advisory Notice on AML/CFT Controls in Higher Risk Jurisdictions, Tesco Personal Finance PLC Fined
CCL Regulatory Update: Middle East Edition - October 2018
This edition includes - DFSA Opens FinTech Innovation Testing Licence Second Cohort, ADGM Joins the WAIFC, UK to Introduce National Economic Crime Centre, ESMA Renews Restriction on CFDs for Further Three Months, ADCB Fined £25,000 for Authorisation Failures
CCL Regulatory Update: Middle East Edition - September 2018
This edition includes - DFSA Board Appoints Bryan Stirewalt as Next Chief Executive, DFSA Implement Amendments to Rulebooks, ADGM Launches New Commercial Licence for Tech Start-Ups, ING CFO Steps Down Following $900 Million Money Laundering Fine, €1.3m Irish Fine for Citibank
CCL Regulatory Update: UK Edition - September 2018
This edition includes - Re-evaluation for Retail Investment Adviser, BCBS Amends to the Pillar 3 Disclosure Requirements, Directive on Countering Money Laundering by Criminal Law, FCA Bans Former Deutsche Bank Trader for Market Manipulation
