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Ex-Jones Day partner fined £25,000 over “burn” advice. BlackRock suffers $1bn pullback over ESG. HSBC ad’s banned for “greenwashing”. US directors resign after US DoJ rules over antitrust laws. KPMG head of Lower Gulf to resign. Senior Deloitte partner retires...

In March 2022, the FCA fined GAM International Management £9m for failing to manage conflicts of interest in relation to its dealings with Greensill Capital. The FCA also fined one of its former investment managers £230k for failing to declare...

A summary of key compliance stories from around the globe in November. New York judge drops charges for Libor-rigging against Hayes. £12m payout for treating clients unfairly during the Covid pandemic. OFSI publishes its annual review including key sanctions stats....

With rising concern about climate change pushing people to act in a responsible and sustainable way, the demand for financial services products and services with green or ESG (Environmental, Social and Governance) credentials is increasing. As a result, so too...

Financial services firms are typically subject to specific regulatory obligations in relation to how they handle client complaints. Here are four key reminders to share with staff across your firm as to why complaints are important.

A summary of key compliance stories from around the globe in October. AJ Bell chair quits over FCA corporate governance decision. Kim Kardashian to pay $1.26m to settle crypto charges. KPMG fined in Dubai over Abraaj audit. Leonteq and EY...

The impact of the FCA’s Consumer Duty initiative will be significant for firms that are involved in the distribution and/or manufacture of products and services to retail customers. In the FCA’s own words: “Be in no doubt: the Duty will...

Cross-party UK MPs call for action on Russian dirty money. DE Shaw former money manager awarded $52 by Finra. Apple lawyer admits to insider trading. Brussels considering EU-wide agency for sanctions. ESMA admits to lacking skills to run consolidated price...

A summary of key compliance stories from around the globe in September. NatWest refunds £600k over “bundling”. Hedge fund manager facing DoJ charges over exchange rate manipulation. UK FCA puts Australian takeover in doubt. Spanish police arrest one of Europe’s...

Ownership and control of entities has received significant media attention recently following the introduction of the UK Register of Overseas Entities on 1 August 2022. The Register requires foreign entities that own land or property in the UK to provide...

Cifas, the UK’s leading fraud prevention service, has warned that the cost of living crisis is providing criminals with new opportunities to steal personal and financial information. Here are three things to remind your employees.

A summary of key compliance stories around the globe in August. SEC charges eleven people over $300m crypto Ponzi scheme. Renowned City figure fined £80,000 for disclosing inside information. Credit Suisse in legal fight with SoftBank. Entain faces £17m fine...