Regulation
Investment | 15 Jul 24
FCA bans ex-investment adviser over unauthorised investment sales
He was ordered by the High Court to pay to the FCA £1,207,050 for losses to investors
Regulation | 12 Jul 24
Isle of Man FSA flags future inspections and other activities in new calendar
The aim is to assist firms with their forward planning, particularly in relation to compliance matters
Middle East | 11 Jul 24
Abu Dhabi Global Market launches whistleblowing framework
Entities within the centre will implement proportionate arrangements to support effective whistleblowing by 31 May 2025
Will the new Labour government bring global action on money laundering?
As technology becomes more sophisticated, so too does money laundering
Regulation | 10 Jul 24
FCA actions FATF call for criminal record checks on new firm owners
Currently, the UK regulator requires only risk-based checks on some applicants