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In the tenth issue of the Knowledge Series, we look at the key regional regulatory themes of 2016 and what we can expect in 2017.

A Look Back at 2016
Includes:
• DIFC/DFSA
• ADGM
• International

Regulatory Outlook for 2017
Includes:
• Cybercrime
• Client Classification and Suitability
• Data Protection

#regulatorynews #compliance #DFSA #ADGM #dataprotection#cybercrime


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CCL's Regulatory Update: Middle East Edition - November 2016. Keep up to date with the latest regulatory developments through our Regulatory Updates. Sign Up to receive our monthly update directly: https://lnkd.in/ehBcDKF

This month includes:

- First Equity Crowdfunding Platform Receives DFSA Licence
- ADGM Launch RegLab
- GCC Regulators Sign MoU
- De-Risking Issues for GCC
- UAE Central Bank and Bank of Algeria Sign MoU
- AUSTRAC and CAMLMAC Sign MoU
- Central Banks Adopt SWIFT Service to Stopper De-Risking Trend
- FinCEN Further Sanction DPRK
- EC Issue BO Information Sharing Directive
- SFC to Focus on Corporate Financial Misconduct
- Effects of India’s De-Monetisation Drive

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Issue 9 in the Knowledge Series looks at the importance of structuring the Compliance function in a way which is relevant to the business and effective in meeting compliance objectives.

#compliance #complianceadvisory #regulatorycompliance #complianceassurance

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CCL's Regulatory Update: Middle East Edition - October 2016. Keep up to date with the latest regulatory developments through our Regulatory Updates. Sign Up to receive our monthly update directly: https://lnkd.in/ehBcDKF

This month includes:

- DFSA Accept EU from Rasmala Investment Bank Limited
- DFSA Trade Finance Report 2016
- Listed Companies in Saudi to Use IFRS
- Central Bank of Bahrain Approved New BIM Rules
- FinCEN Issue Advisory on Cybercrime
- OCC Issue Guidance for Maintaining High Risk Relationships
- US Sanctions Programme Against Myanmar Ended
- FATF Update Jurisdictions Lists
- Ulster Bank Receive Fine for Significant Failings

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In the 8th Issue of the Knowledge Series we look at the Growing Importance of Conduct Risk and How to Approach it.

#conductrisk   #compliance   #regulation  

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CCL's Regulatory Update: Middle East Edition - September 2016. Keep up to date with the latest regulatory developments through our Regulatory Updates. Sign Up to receive our monthly update directly: https://lnkd.in/ehBcDKF

This month includes:

- DFSA Release CP 108 and Make Amendments to Legislation
- DFSA Fine Clements (Dubai) Limited
- SCA Mutual Fund Regulations 2016
- Draft Arranging and Promoting Regulations
- Iran Backtrack on FATF Action Plan
- Nations Call for Sanctions Again Syria
- Rise in SARs in Singapore
- Oman CMA Issue Notices to Brokerage Firms
- FBME Wins Injunction Against FinCEN

#compliance #regulation #DFSA


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Issue 7 in the Knowledge Series ‘Compliant Training or Training for Compliance?’ looks at the purpose of compliance training and whether or not it can change employee behaviour.

#compliancetraining #compliance

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CCL's Regulatory Update: Middle East Edition - August 2016. Keep up to date with the latest regulatory developments through our Regulatory Updates. Sign Up to receive our monthly update directly: https://lnkd.in/ehBcDKF

Includes:
- DFSA Sign MoU with ADGM FRSA
- Saudi CMA REITF Instructions Proposal
- Saudi CMA Book Building and IPO Instructions Approved
- Saudi CMA to Adopt Updated FAQ’s Forms
- Qatar Central Bank Issue Government Bonds
- CBB Issues Directive on SMS Notifications
- FCA Issue New Financial Crime Reporting Requirements
- FinCEN Updates
- 2016 Basel AML Index Published
- New Zealand Develop Anti-Money Laundering Legislation
- Concerns over IOLTAs in the US
- Extreme Counter-Terrorism Financing Measures Considered in France
- Deutsche Bank Fined by FINRA
- Multiple Penalties Issued by South African Reserve Bank
- Enforcement Action Against AS PrivatBank Subsidiary
- Enforcement Action Taken Against Falcon Private Bank
- Kuwaiti Apprehended for Terrorist Financing
- Case Continues for Bahraini Holy Man
- Ex-Presidential Family Member Arrested for Money Laundering

#regulation #compliance 

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Issue 6 in the Knowledge Series looks at Risk-Based Resource Planning and Allocation.

The Knowledge Series is part of our initiatives and events programme for 2016 to celebrate CCL's 10th year in the Middle East. This series consists of 10 briefing notes focusing on key regulatory developments and challenges.

#regulatory #compliance #complianceresources
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