CCL Regulatory Update: India Edition - November 2016

This edition includes - Seven NBFCs Surrender their Certificate of Registration, Proceedings Initiated by SEBI against Five Commodity Brokers, SEBI Grants Approval to the Bombay Stock Exchange (BSE) to Set Up a Global Exchange

The Knowledge Series: Establishing Effective Compliance Structures

Issue 9 in the Knowledge Series looks at the importance of structuring the Compliance function in a way which is relevant to the business and effective in meeting compliance objectives.

CCL Regulatory Update: Middle East Edition - October 2016

In this month's edition, DFSA Accept EU from Rasmala Investment Bank Limited, Listed Companies in Saudi to Use IFRS, FinCEN Issue Advisory on Cybercrime and FATF Release Publication on Beneficial Ownership

CCL Regulatory Update: India Edition - October 2016

This edition includes - RBI Signs MoU with the Central Bank of Myanmar, SEBI Introduces Online System for Investment Advisers and Research Analysts, Government Plans to Take Away RBI's Debt Management Role in Two Years, SEBI Considering a Ban on Social Media Stock Tips, Trading Games

The Knowledge Series: The Growing Importance of Conduct Risk

In the 8th Issue of the Knowledge Series, we look at the growing importance of conduct risk and how to approach it.

CCL Regulatory Update: Middle East Edition - September 2016

This edition includes - DFSA Fine Clements (Dubai) Limited, Iran Backtrack on FATF Action Plan and Transactional Criminal Organisation Identified in Vancouver

CCL Regulatory Update: India Edition - September 2016

This edition includes - Temporary Suspension in Grant of Authorisations for Prepaid Payment Instrument (PPI) Issuance, Dr. Urjit R. Patel Takes Over as RBI Governor, 15 circulars for SEBI regulated firms and RBI considers offering Islamic finance through non-bank channels

The Knowledge Series: Compliant Training or Training for Compliance?

Issue 7 in The Knowledge Series looks at the purpose of compliance training and whether or not it can change employee behaviour.

CCL Regulatory Update: India Edition - August 2016

This edition includes - RBI Identifies SBI and ICICI Bank as D-SIBs in 2016, SEBI Signs a Bilateral Memorandum of Understanding with Abu Dhabi Global Markets Financial Services Regulatory Authority, Urjit Patel to Succeed Raghuram Rajan as Reserve Bank Governor

CCL Regulatory Update: Middle East Edition - August 2016

This edition includes - DFSA Sign MoU with ADGM FRSA, Saudi CMA to Adopt Updated FAQ’s Forms, 2016 Basel AML Index Published, New Zealand Develop Anti-Money Laundering Legislation, Southeast Asia Hold Counter-Terrorism Financing Summit

The Knowledge Series: Risk-Based Resource Planning

Issue 6 in the Knowledge Series looks at Risk-Based Resource Planning and Allocation.

CCL Regulatory Update: Middle East Edition - July 2016

This edition includes - DFSA release two Consultation Papers, US Pushes Bills to Increase Counter-Terrorism Financing Efforts, EC Publishes New Rules and Country Risk List and NBAD and FGB to merge.