- Posts in 2020
This edition includes - DFSA Issues a Consultation Paper on Regulation of Retail OTC Leverage Products, ADGM Commences Public Consultation on Proposed New Data Protection Regulations, IOSCO’s GEMC Publishes a Report on the Development of Emerging Markets, Thematic Review on Consistency in Implementation of Money Market Reforms, DFSA Sanctions Upheld Against Dr Mubashir Sheikh for Serious Misconduct.
This edition includes - FCA Statement on Workplace Arrangements and Travel, ESMA Publishes Q&A on SFTR Reporting, FX Options Broker Fined for Misleading Information to Clients, FCA Charges Individual with Offence of Money Laundering.
This edition includes -FCA Further Extends and Amends Temporary Measures for Depreciation Notification, FCA Policy Statement on Extending the Certification Regime and Conduct Rules, ESMA Updates Statements on the Impact of Brexit on MiFID II/MiFIR, FCA Fines ARCM for Breaches of Short Selling Disclosure Rules.
This edition includes - DIFC Becomes Region’s First Fully Accredited Member of Global Privacy Assembly, ADGM Publishes Consultation Paper on Amendments to Application of English Law Regulations 2015, UAE Merges Insurance Authority with Central Bank, FATF Issues Update to “The FATF Recommendations”, Goldman Sachs International Fined £96.6m for Risk Management Failures in Connection with 1MDB.
This edition includes - DFSA Issues a Dear SEO Letter and a Markets Brief on the Transition From IBOR, ADGM Begins Public Consultation on Proposed Electronic Transactions Regulations, FSB RCG MENA Group Discusses the Economic and Financial Market Development, UAE Issues Cabinet Decision Concerning Economic Substance Requirements.
This edition includes -FCA Extends Deadline to Publish Fund Reports and Accounts, First Firms to Move to New Data Collection Platform, RegData, PRA Letter on the Operational Readiness of the Temporary Permissions Regime, FCA Publicly Censures Former CEO for Market Misconduct.
This edition includes - FCA Updates on Firm Handling of Complaints During COVID-19, FCA Consults on Extension of Annual Financial Crime Reporting Obligation, Wolfsberg Group Publishes Statement on Developing an Effective AML/CTF Programme.
This edition includes - DIFC Issues Amendments to the Common Reporting Standard Law and Regulations, ADGM and Sunline Collaborate on the Development of FinTech Solutions in the Digital Lab, IOSCO Examines the Evolution of Liquidity Provision in Equity Securities Markets, High Court Orders Illegal Pension Introducers to Pay £10,715,000 Restitution to Consumers.
This edition includes - FCA Consults on Extending Deadline for Certification Regime and Conduct Rules, PRA Revised Version of Complaints Scheme, HM Treasury Proposes to Strengthen Rules on Financial Promotions, HM Treasury Consults on Economic Levy.
This edition includes - DFSA’s 2020 Summer Innovation Testing Licence Programme Update, CBUAE and ADGM Invite Applications for the 2020 Innovation Challenge, SCA Embarks on a Project to Restructure the Legislative System for Broker Classification, 12 Month Review of Revised FATF Standards - Virtual Assets and VASPs, Hong Kong Regulator Imposes $25.2M Fine on Guotai Junan Securities.
This edition includes - DFSA and Deloitte Middle East Publish Discussion Paper on Digital Assets Custody, ADGM and FSRA Make Amendments to Regulations, SCA Launches a New Version of its Digital Platform, FATF Proposes Amendment to Recommendation 1 to Include Proliferation Financing Risk, Deutsche Bank Fined $150million for Compliance Failures.
This edition includes - FCA Guidance on Assessing Adequate Financial Resources, PRA Statement on Electronic Signatures, ESMA Guidance on Compliance Function Under MiFID II, Official Journal Amended List of High-Risk Third Countries, FCA Fines Lloyds Bank Plc, Bank of Scotland Plc and The Mortgage Business Plc.