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What you need to know about transferring from AIM to the Main Market
Process and requirements for an AIM company to transfer listing to the ESCC category under new UK Listing Rules.
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The CSDDD on its way to binding law: Next steps to watch for
Key developments include: Member State transposition, reporting criteria, European Single Access Point submissions, and guidelines on standard contractual clauses.
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CSDDD deep dive series: 1. The Basics
Overview of the CSDDD including which companies are in-scope, due diligence on their global operations and value chains, and enforcement risk.
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NYDFS charges Nordea Bank for compliance and due diligence failures
NYDFS alleged that Nordea’s AML safeguards at its former Baltic branches failed to meet its risk for money laundering and other suspicious transactions.
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The most important metric
So many stories in financial services are less pilgrim’s progress than road to perdition, says Carroll Barry-Walsh.
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Crypto firms need to improve compliance outcomes says FCA
The regulator’s review of firms’ adherence to ‘back-end’ marketing rules uncovers widespread poor practice.
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FCA week in review August 5 – 11, 2024
Our regular at-a-glance guide to work at the FCA.
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Behind the AML RegTech veil: The hidden human costs
Dr Mariola Marzouk and Dr Nicholas Gilmour conclude their series on the inadequacies of the AML RegTech industry.