This edition includes - FCA Confirms Industry Guidance for BCOBS, FCA’s Future Mission - Key Themes from Feedback, MiFID 2 – FIA Due Diligence Questionnaire for IT Outsourcing and Procurement
This month includes DFSA legislation amendments, FATF reports on Switzerland and the US and financial services firms fined by FINRA, NYDFS, FINRA, SARB and MAS.
This edition includes - RBI Clarifies that Banks should accept Pre-2005 Banknotes in Deposit, RBI Imposes Fine on Five Foreign Banks for Forex Rule Violation, RBI denies taking action against Cancelling Axis Bank's Licence, Three Entities banned by SEBI from acting as Investment Advisors
The Knowledge Series - Regional Regulatory Themes: What Have We Seen In 2016 and What Can We Expect in 2017?
In the 10th issue of the Knowledge Series, we look at the key regulatory themes of the past year and what we can expect in 2017, including Embedding Compliance into the Corporate Culture of Regulated Firms, Product Governance, AML, CTF and Sanctions, Cybercrime, Client Classification and Suitability, Data Protection and Costs of Compliance
This edition includes - First Equity Crowdfunding Platform Receives DFSA Licence, ADGM Launch RegLab, UAE Central Bank and Bank of Algeria Sign MoU, AUSTRAC and CAMLMAC Sign MoU, Jordan Kuwait Bank Fined by Central Bank of Cyprus
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
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.
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
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
In the 8th Issue of the Knowledge Series, we look at the growing importance of conduct risk and how to approach it.
This edition includes - DFSA Fine Clements (Dubai) Limited, Iran Backtrack on FATF Action Plan and Transactional Criminal Organisation Identified in Vancouver
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