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What can be learned from the SFO and ENRC saga
The UK SFO’s bungled investigation into Kazakh mining operation ENRC offers lessons for financial compliance professionals.
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GRIP Extra 2/24
This week strikes end on the US East Coast; EU tariffs on Chinese EVs; SEC charges in pre-IPO scheme; another sentence connected to Brazil’s Odebrecht and a Singapore graft investigation resulting in charges against tycoon.
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What are the Consumer Duty impacts across the payments sector value chain?
How to demonstrate a positive influence on customer outcomes.
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TD Securities charged with spoofing scheme, failing to supervise head of US Treasuries desk
The allegations revolve around hundreds of episodes of unlawful trading in the secondary (cash) market for US Treasuries.
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Therese Chambers tells conference the FCA is listening to concerns about ‘name and shame’ plans
The regulator will meet with groups to explore the transparency proposals but not everyone is convinced continuing along this path is the best way forward.
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High-value UK money laundering cases are on the up
Tony McClements says the increase in money laundering cases indicates that the UK is finally getting to grips with money laundering as an indictment.
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FCA work in review September 17 – 23, 2024
Our at-a-glance guide to recent FCA activity.
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ASIC roundup: fraud, dishonest conduct and misuse of company funds
The Australian Securities & Investments Commission’s latest actions and news, September 16 – 20, 2024.