Compliance
Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus
March 17, 2022
by Monique Melis, Maria Evstropova, Ken C. Joseph, Esq., Hannah Rossiter, Malin Nilsson, Aaron Weiss
Thu, Dec 9, 2021
Regulatory Focus - December 2021
In this edition of Regulatory Focus, Kroll’s compliance experts round up key news and publications from the FCA during October, November and December 2021.
- The new prudential rules and the ICARA process starting in January 2022
- Regulatory technical standards - delayed application
- Proposals for stronger requirements on oversight appointed representatives
FCA Updates – November - December
- Drivers of change in the financial services industry
- How the FCA is committed to helping investors consider ESG as part of investment decisions
- A strategy for positive sustainable change
- Digital regulation cooperation forum
- A joint memorandum of understanding signed with the FMSB
- FCA writes to a further 950 DP pension advice customers
- Investment Firms Prudential Regime final rules published
- Financial regulators publish fourth edition of plan for upcoming work
Financial Services Compliance and Regulation
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Insights
Global Enforcement of Anti-Money Laundering Regulation: Shift in Focus
Regulatory Updates
SEC Division of Examinations Announces 2024 Priorities
October 25, 2024
by Ken C. Joseph, Esq., David Larsen, Alyssa Heim, Anna Povinelli
Regulatory Updates
Balancing Innovation and Responsibility: The Customer Appropriateness Assessment and Crypto Assets
February 12, 2024
by Tammy Li, Matt Austen
Regulatory Updates
AI Risks and Compliance Strategies
January 31, 2024
by Ken C. Joseph, Esq., Jonathan "Yoni" Schenker, Ana D. Petrovic
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