Latest Articles

H2O funds suspended by French regulator. Thirteen sued over £178m alleged fraud at LCF. Insurers lose FCA Covid 19 legal case. Deloitte fined for audit lapses. Big four in joint ESG reporting initiative. FinCEN SARs leaked. JPMorgan Chase agrees a...

Second Wirecard Executive held on suspicion of fraud. Deutsche agrees to $150m fine for compliance failings in dealing with Epstein. Trump imposes sanctions on China. Singapore charges businessman over Wirecard fraud. Former Coutts banker found guilty of breaching AML laws....

Deadline missed for Brexit parallel equivalence assessment. US Supreme Court ruling on disgorgement. Big four accountants given UK audit split deadline. Deloitte faces fine for audit failings at Autonomy. Four Wirecard executives held on suspicion of fraud. Grant Thornton fined...

Insurance and the pandemic. Expenses scandal and conflict management at the world’s biggest sovereign wealth fund. Potential for backlash for big US groups. Judge rules in favour of LSE over manipulation claim. Softbank CEO says he is misunderstood – just...

FCA to bring test case on business interruption wordings. HSBC and StanChart facing difficulties over supporting Beijing security law. Barclays facing latest battle over crisis fundraising. Simon Property Group claims material adverse change to drop $3.6bn deal. FCA hits Lloyds...

HSBC reports suspicions over Singapore energy trading firm. BaFin looking into market manipulation and director dealing at Wirecard. KPMG facing £250m lawsuit over Carillion audits. Whistleblower reports to UK’s FCA increase. Deutsche Bank criticised by New York Fed. Coronavirus inspires...

Professional services firms’ attempts to cope with the coronavirus. Concerns over data security and privacy on Zoom. Morrisons wins appeal over data leak. UK FCA eases emergency fundraising requirements. Softbank facing legal challenge from WeWork. Insurers told by FCA to...

Coronavirus and conduct. EY acts on conduct failings with “belonging” workshops. Goldman Sachs makes qualified diversity pledge. Citigroup suspends bond trader over alleged food theft. Deutsche probing Saudi wealth management bribes. Senior UK civil servant resigns accusing Home Secretary of...

Since the outbreak of coronavirus started to impact our clients and our own staff, we have made several changes to the way we work, deliver training and interact with our clients. Read this update for highlights

Senior Executive Officer's (SEOs), Compliance Officer (COs) and Money Laundering Reporting Officers (MLRO) of DFSA authorised firms must complete a CPD requirement of 15 hours’ structured activity per year. This article provides details of this requirement and looks at how...

Coronavirus and compliance. Deutsche Bank’s UK difficulties. Freedom of information response reveals seven breaches by UK funds. Deutsche Bank cleared funds as correspondent for Jho Low. Swedbank faces possible sanction breaches and a $400m fine for AML deficiencies. NMC Health...

In line with precautionary measures being taken to reduce the risk posed by COVID-19, our SM&CR breakfast briefing presentations were recorded by our speakers and are now available on-demand.