Regulation
Regulation | 17 Oct 24
Expert view: FCA fine on challenger bank for ‘shockingly lax’ sanctions screening
The case sheds light on some of the components of an effective sanctions compliance system
Three areas wealth industry should tackle to deliver better consumer support outcomes
It’s only right that in time, attention will turn to consumer support
Gemcorp Capital gains financial services licence in Abu Dhabi GM
it has also opened a new office in Abu Dhabi
Middle East | 4 Oct 24
DFSA fines OCS International Finance Limited over ‘mismanaged’ $46m of client funds
The Dubai Financial Services Authority also imposed a fine on the CEO of OCS
Macquarie Bank fined a record $4.9m for ‘serious market gatekeeper’ failure
On 50 occasions, from January to September 2022, Macquarie breached market integrity rules