Mondaq Europe: Compliance
Brodies LLP
The 4th Money Laundering Directive ("MLD 4") came into force in the EU on 26 June 2017. On that date, the UK implemented the Money Laundering Regulations 2017 to transpose MLD 4 into UK law.
Reed Smith (Worldwide)
The Regulation must first be formally adopted by the Council, and signed by the Presidency of the Council and the President of the European Parliament, before becoming legally binding.
Duff and Phelps
In response to increasing concerns around investment advice, in early 2017, the JFSC launched an awareness campaign highlighting the potential dangers of high-risk investments and mis-selling.
Baker & Partners
At a Breakfast Briefing Event this week, entitled ‘Walking The Tightrope', Baker and Partners provided guidance on current regulatory ‘Hot Topics' to Jersey's compliance industry.
Arendt & Medernach
In less than 4 months the Priips-Kid regulation will come into force.
Dentons
On 13 February, 2017 the Luxembourg Financial Regulator (Commission de Surveillance du Secteur Financier –CSSF) announced its position in respect of ESMA's opinion by issuing press release n°17/06.
Deloitte Luxembourg
On 30 December 2016, the IRS released the final Qualified Intermediary Agreement (Final QIA) as part of the Revenue Procedure 2017-15.
Dentons
On 31 December, 2016 the State Prosecutor of the Luxembourg Financial Intelligence Unit (Cellule de renseignement financier du Parquet auprès du Tribunal d'Arrondissement de Luxembourg – the CRF)...
Wolf Theiss
The Romanian Senate adopted a draft law regarding the "electronic headquarters of economic operators" (the "Draft Law").
Noerr
ABC (anti-bribery and corruption) enforcement in Russia and the former Soviet republics in 2017 was marked by foreign multinational actions against international companies for large-scale offences.
Gün + Partners
On February 21 2018 Transparency International published the 2017 Corruption Perceptions Index, which reflects the public sector corruption perspective of non-governmental organisations ..
Travers Smith LLP
In the first contested prosecution under section 7 of the UK's Bribery Act 2010 (the "Act"), a Londonbased interiors company has been found guilty of the 'corporate offence' of failing to prevent bribery.
TMF Group
Why is compliance so challenging? How does a truly global compliance framework look like? What does the future hold for compliance professionals?
Jordans, A Vistra Company
Business relationships with family members and known close associates of a PEP are also subject to greater scrutiny.
Rahman Ravelli Solicitors
Syedur Rahman and Nicola Sharp examine the merits of compliance committees and how improving your compliance measures can help you, even while you are under investigation, in global corruption cases.
Bircham Dyson Bell LLP
When faced with a crisis organisations will often reach for the apparent solution of an inquiry to look at the problem
Pinsent Masons LLP
The consultation closes on 21 September 2017, and the FCA expects to publish its new rules early next year.
Clyde & Co
The decade since the enactment of the Legal Services Act 2007 (the "LSA") has seen significant regulatory reform in the legal sector...
ICSA
On 7 September 2016, the Financial Conduct Authority and the Prudential Regulation Authority announced new whistleblowing rules for banks, building societies, credit unions and some investment and insurance firms, in response to public demand for greater banking accountability.
Clyde & Co
Following the enactment of the Policing and Crime Act 2017 (the Act) on 1 April 2017, the provisions of the Policing and Crime Bill reported in our previous article, OFSI: the new OFAC, have now entered into force.
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