Compliance
Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus
March 17, 2022
by Monique Melis, Maria Evstropova, Ken C. Joseph, Esq., Hannah Rossiter, Malin Nilsson, Aaron Weiss
Fri, Jul 23, 2021
Regulatory Focus - June 2021
In this edition of Regulatory Focus, Kroll’s compliance experts round up news and publications from the FCA during April and May 2021.
Regulatory Focus - June 2021
July 23, 2021
Changes to UK MiFID’s Conduct and Organizational Requirements
April 28, 2021
Compliance, Culture and Evolving Regulatory Expectations
March 31, 2021
Fake Emails Purporting to Come from the FCA
July 23, 2021
FCA and Bank of England Statement on LIBOR Transition
May 13, 2021
FCA Changes Process for Firms Wishing to Change Their Legal Status
July 23, 2021
FCA Fines Firm for Serious Financial Crime-Control Failings in Relation to Cum/Ex Trading
May 6, 2021
FCA Launches Consultation on Long-term Asset Fund (LTAF), Designed to Invest in Efficient Long-term Illiquid Assets, and Works on Liquidity Mismatch in Open-ended Property Funds
May 7, 2021
The FCA and Practitioner Panel Joint Survey for 2021 Launches
April 30, 2021
FCA Publishes a Consultation Paper on the Use of Its New Powers Under the Benchmarks Regulation to Facilitate LIBOR's Wind Down
May 20, 2021
Financial Services Regulatory Initiatives Grid
May 7, 2021
Firms Should Ensure That Permissions Are Reviewed Regularly
July 23, 2021
Levelling the Playing Field: Innovation in the Service of Consumers and the Market
April 20, 2021
Man Charged for Carrying Out Regulated Activities Without Authorization
May 20, 2021
Regulation for a Different World
May 6, 2021
All Reporting Firms Moved to FCA's New Data Collection Platform Regdata
May 19, 2021
The Rise in Scams and the Threat to a Legitimate Financial Services Industry
May 18, 2021
Second Consultation on New Prudential Regime for UK Investment Firms
April 19, 2021
When Do Senior Managers Have to Be Certified and Reported as Directory Persons?
July 23, 2021
The Voice
When do Senior Managers have to be Certified and Reported as Directory Persons?
FCA Changes Process for Firms Wishing to Change their Legal Status
Fake Emails Purporting to Come from the FCA
FCA Updates – April 2021
Second Consultation on New Prudential Regime for UK Investment Firms
Levelling the Playing Field: Innovation in the Service of Consumers and the Market
Compliance, Culture and Evolving Regulatory Expectations
Changes to UK MiFID’s Conduct and Organizational Requirements
The FCA and Practitioner Panel Joint Survey for 2021 Launches
FCA Updates – May 2021
Regulation for a Different World
FCA Fines Firm for Serious Financial Crime-Control Failings in Relation to Cum/Ex Trading
Financial Services Regulatory Initiatives Grid
FCA Launches Consultation on Long-term Asset Fund (LTAF), Designed to Invest in Efficient Long-Term Illiquid Assets, and Works on Liquidity Mismatch in Open-Ended Property Funds
FCA and Bank of England Statement on LIBOR Transition
The Rise in Scams and the Threat to a Legitimate Financial Services Industry
All Reporting Firms Moved to FCA’s New Data Collection Platform RegData
FCA Publishes A Consultation Paper on the Use of its New Powers Under the Benchmarks Regulation to Facilitate LIBOR’s Wind Down
Man Charged for Carrying Out Regulated Activities Without Authorization
Firms Should Ensure that Permissions are Reviewed Regularly
Financial Services Compliance and Regulation
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Insights
Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus
Regulatory Updates
SEC Division of Examinations Announces 2024 Priorities
October 25, 2024
by Ken C. Joseph, Esq., David Larsen, Alyssa Heim, Anna Povinelli
Regulatory Updates
Balancing Innovation and Responsibility: The Customer Appropriateness Assessment and Crypto Assets
February 12, 2024
by Tammy Li, Matt Austen
Regulatory Updates
AI Risks and Compliance Strategies
January 31, 2024
by Ken C. Joseph, Esq., Jonathan "Yoni" Schenker, Ana D. Petrovic
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