Monday 22nd April 2019
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Governance, Risk and Compliance Convergence

89% of organizations in an OCEG 2017 GRC Maturity Survey reported that integration in governance, risk, and compliance (GRC) provided benefits that met or exceeded expectations. “Integrated GRC: The Key to Better Risk Awareness and Better Performance” delves into the benefits and best practices around GRC convergence. Take a look at this insight to understand […]

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A common sense approach to bribery policy and procedures

ABC law demand that companies take adequate steps to prevent corruption. To realise this, they must take a proactive approach to establish that corruption, in all its various guises, will not be tolerated. Regular anti-bribery and corruption training and a clear, well-publicised policy against which corporate entertainment can be assessed on a case-by-case basis are […]

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FCA sets out its priorities for 2019/20 – Published: 17/04/2019

The Financial Conduct Authority (FCA) has today published its Business Plan for 2019/20, which outlines the key priorities for the coming year. As the UK finalises preparations to leave the European Union, the immediate priority will remain supporting an orderly transition post-exit. The FCA will also continue to play a leading role in shaping the […]

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Bounty pregnancy club fined £400,000 over data handling

Pregnancy club Bounty UK has been given a £400,000 fine for illegally sharing the personal information of more than 14 million people. The fine was issued by the Information Commissioner’s Office (ICO) in what it said was an “unprecedented” case. Bounty compiled personal data but did not tell people that it was shared with 39 other organisations, […]

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Undue influence affecting settlors in exercising powers of revocation

Representation of Jasmine Trustees In a recent decision arising out of a long-running family dispute concerning two trusts, the Royal Court made several notable findings regarding the scope and effect of undue influence in a trust context. What lessons can trustees take away from the decision in this case? Trustees and other fiduciaries should be […]

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Spotlight on Money Laundering in 2019

Summary What Next? Driving dirty money out of the UK financial system has become an increasing priority for the FCA, reflecting the higher profile which money laundering now has in the UK. This profile stems from a variety of sources, including the political focus on tackling the proceeds of crime, media investigations into tax evasion […]

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UK Financial Conduct Authority Anti-Money Laundering Investigations Underway With Threats of Civil and Criminal Enforcement

Speaking on 4 April 2019, the head of enforcement for the UK FCA, Mark Steward, warned those subject to the UK’s anti-money laundering regulations that ‘it is time that the FCA gave effect to the full intention of the Money-Laundering Regulations which provides for criminal prosecutions’. He added: ‘[The FCA is] now conducting ‘dual track’ […]

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ESMA updates its Q&A on the application of the UCITS Directive

On the 29th March 2019, the European Securities and Markets Authority (ESMA) published an updated version of the Questions and Answers (Q&As) on the application of the UCITS directive. The updated Q&As clarify the UCITS KIID benchmark and past performance obligations as follows: ESMA Confirms in question 4b that whenever a UCITS refers to a […]

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