Latest Articles

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...

The financial sector has an important role to play in preventing and detecting modern slavery - not only through a firm’s direct operations (e.g. staffing, procurement and supply chains) but also through its approach to investment, lending and client relationships....

A summary of key compliance stories around the globe in July. Crypto fund’s ETF application rejected by SEC. EU finalises regulations for crypto assets trading. Credit Suisse facing huge Asia backlog over source of wealthy clients’ funds. Legal battle over...

FCA puts Credit Suisse on watchlist. Claim filed against Woodford fund. Elliott Management claims $456m from LME over cancelled nickel trades. BoE orders banks to improve plans to “fail safely”. JPMorgan wins “fraud” case against Nigeria. Bankers lose jobs over...

UK-listed port operator at risk of sanctions breach for harbouring Abramovich-linked yacht. City minister shifts to positive tone on crypto. Sunak’s wife agrees to pay UK tax on all income. Jersey freezes $7bn of assets linked to Abramovich. Twitter introduces...

Michael Sacks, Director of Digital Learning Strategy at CCL Academy reveals how firms can enhance their compliance training strategy by taking three simple steps. Step 1...

US regulator looking at retail sales practices for “complex products”. Wirecard administrator chasing recovery of dividends and tax. Allianz settles for $5.8bn over US securities fraud. ECB demands big investment banks address “empty shell” desk issue. BNY Mellon fined by...

In April 2022, the FCA released its review of the financial crime controls at six challenger banks. Whilst the review found evidence of good practice, in particular through the innovative use of technology, it also highlighted weaknesses which increased the...