This edition includes - DFSA Fine Former Directors for Breach of AML Rules, DIFC Courts Issue Wind Up Notice, Repeated AML Violations Lead to Record Fine and Men Arrested for Raising Funds for Terrorist Plot
Issue 5 in the Knowledge Series looks at how enforcement actions by regulators can inform senior management on key risk areas and themes in order to focus their compliance agendas.
This edition includes the RCBC Scandal, Bitcoin Exchange Licenced in the EU, the Panama Papers and New FIU for Isle of Man
This edition includes - RBI Imposes Penalty on M/s Sun Corporate Services Pvt. Ltd, Ten NBFCs Surrender Their Certificate of Registration to RBI, SEBI to Strengthen Norms Governing Credit Rating Agencies (CRAs)
Includes updates from the FCA and the PRA, MiFID II/MiFIR, MAR/MAD, UCITS V/AIFMD
Issue 4 in the Knowledge Series looks at the changes made to the Dubai International Financial Centre funds regime and asks the question whether it now provides a real alternative to other well-known fund jurisdictions.
This edition includes - Saudi CMA Move for Greater Transparency, New AML Regulation for Kuwait Real Estate Sector, OFAC Sanctions for North Korea and Financial Crime on the Rise in the Middle East
This edition includes - RBI Signs Currency Swap Agreement with the Royal Monetary Authority of Bhutan, India Plans to Bring Iran back into Banking Clearing Union, SEBI Drops Insider Trading Charges against RIL Unit
In this edition, we look at the latest updates from the FCA, MiFID II and the latest developments on the Senior Managers & Certification Regime (SM&CR)
Issue 3 in the Knowledge Series looks at money laundering, terrorist financing and sanctions risks and how firms can manage them with a consistent, risk-based approach.
This edition includes - RBI awarded for Innovation in XBRL Reporting, RBI and Central Bank of UAE sign MoU to consider Currency Swap Agreement, SEBI scans Facebook accounts in insider trading case
This edition includes - DFSA Legislative Summary, FCA and PRA’s New Bank Start-Up Unit, Outcomes of FATF Plenary Meeting and New Fraud Initiative in the UK