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Compliance Culture & Ethics

Mental health triggers and finance documents – are creditors reading the room?

October 17, 2024

By adopting a compassionate and flexible approach to mental health triggers, it’s possible to create a more supportive financial system.

Richard Gibbard | Fieldfisher7 min read
ESG

CSDDD deep dive series: 1. The Basics

October 17, 2024

Overview of the CSDDD including which companies are in-scope, due diligence on their global operations and value chains, and enforcement risk.

Covington5 min read
ESG

Global report on greenwashing hints at turning tide

October 17, 2024

A decrease in greenwashing cases for the first time in six years, but severity of incidents is on the rise says RepRisk annual report.

Jean Hurley2 min read
FCA

FCA International Capital Markets Conference: Capital and capital markets

October 17, 2024

The FCA’s conference, held in London on October 8, attracted the highest calibre of speakers from the regulatory ecosystem and the banking and investment community.

Thomas Hyrkiel3 min read

Article

October 11, 2024 13 min read

GRIP Country Guides: Switzerland

A first port of call for firms wishing to do financial services business in Switzerland – covering regulation, compliance and best practice.

ComplianceMore on Compliance

Enforcement

SEC says Horter Investment failed to supervise adviser for misconduct

October 16, 2024

SEC says the (now convicted) adviser stole from clients, thanks to the firm and its CEO failing to reasonably supervise him.

Julie DiMauro3 min read
Enforcement

Citadel Federal to pay over $6.5m in first redlining case against a credit union

October 16, 2024

The institution failed to provide mortgage lending services to residents of predominantly non-white neighborhoods for about five years, DOJ said.

Julie DiMauro2 min read
Enforcement

Opinion: Banks should be held accountable when fraud takes place on their watch

October 15, 2024

Cases continue to show why fraud victims must have the right to sue banks to recover their losses.

Martin Kenney | Martin Kenney & Co2 min read
Enforcement

Trading firm dinged for using buzzwords about purported AI capabilities

October 15, 2024

The SEC also accused the pair of lying to investors about Rimar’s assets under management.

Julie DiMauro3 min read

More on Compliance

DataMore on Data

Data

GRIP Extra 3/24

October 11, 2024

This week FTX customers get some of their money back, Marriott must improve security after data breaches, TikTok is sued and Roblox targeted by short-sellers, while Chinese start-ups are playing catch-up on AI.

GRIP1 min read
Privacy

Norway aims to become the world’s most digitized country

October 9, 2024

A new strategy from the government sets out clear goals for the “digital Norway of the future.”

Martina Lindberg2 min read
Data

GRIP Extra 2/24

October 4, 2024

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.

GRIP<1 min read
Privacy

Irish DPC fines Meta €91m for password storage failures

October 4, 2024

Meta Ireland stored social media users passwords in ‘plaintext’ without encryption.

Martina Lindberg1 min read

ESG

UK’s new approach to climate change set out at International Carbon Markets Summit

October 16, 2024

UK government is committed to fostering growth in international carbon markets and unlocking additional finance to reach net zero.

Jean Hurley2 min read
ESG

UK Employment Rights Bill: Key features and concerns

October 11, 2024

The much anticipated UK Employment rights Bill has been published by the government. We take a look at its key features, and some of the concerns around it.

Hameed Shuja3 min read
ESG

CFTC issues final guidance for listing voluntary carbon credit derivatives

October 9, 2024

It is hoped that this Final Guidance will encourage the trading of VCCs and VCC-linked derivatives which in turn will help offset carbon emissions.

Carl E. Kennedy | Katten2 min read
ESG

Podcast: Danesmead ESG’s Daniella Woolf and Harriet O’Brien on the evolving nature of ESG

October 2, 2024

We spoke about sustainability and climate reporting in US, UK and EU; the divisive nature of ESG; and the regulatory compliance burden on firms.

Jean Hurley<1 min read

RegulationMore on Regulation

SEC

Cumberland sued by SEC for offering “crypto securities” as unregistered dealer

October 16, 2024

This marks the first time the SEC has gone after a large OTC crypto market maker for failing to register as a broker-dealer.

Alexander Barzacanos2 min read
Regulation

Regulatory reforms pledge by UK PM Starmer draws mixed reaction

October 16, 2024

Is Keir Starmer’s plan to remove regulatory obstacles to investment just empty rhetoric, or does it signal the launch of an ambitious business strategy?

Hameed Shuja, Martin Cloake4 min read
Regulation

Energy’s rising importance is matched by regulatory scrutiny

October 15, 2024

Government concern about the state of the energy markets has led to new rules, and to action by regulators targeted at the energy and commodity sector.

Alex Viall5 min read
Regulation

Promise to ‘rip up bureaucracy’ by UK PM Starmer raises more questions than answers

October 15, 2024

The British Prime Minister has promised to get rid of bureaucracy that’s holding back investment. We examine why this is a key issue.

Hameed Shuja3 min read

More on Regulation

TechnologyMore on Technology

Crypto

Crypto wrap: Most crypto-friendly countries, SEC charges, and more

October 17, 2024

Latest news and developments from the world of crypto, including stories from the US, EU and elsewhere.

Hameed Shuja3 min read
Security

Cyber risk to the C-Suite: Navigating personal liability and regulatory compliance

October 16, 2024

With SolarWinds as a backdrop, the authors look at negligence in cybersecurity in terms of personal accountability and a firm’s integrity.

Bahram Yusefzadeh | Zayda Technologies, Stephen Luebke | Zayda Technologies3 min read
Security

Podcast: Alice Wallbank from Shoosmiths on data privacy and cyber security issues

October 14, 2024

We spoke about: CrowdStrike outage, Ashley Madison data breach, prevalence of cyberattacks, government oversight and regulation.

Jean Hurley<1 min read
Technology

UK and US governments to cooperate more closely on children’s online safety

October 10, 2024

Governments issue first joint statement pledging to go further and faster to protect children.

Martin Cloake<1 min read

More on Technology