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European Compliance

Compliance issues in the Eurozone are more pressing than ever, amid major changes such as data privacy, Brexit, global commerce, and the need to harmonize various international regulatory regimes. Compliance Week sees compliance not as an issue of any one nation or region, which is why we spotlight the regulatory, governance, compliance and ethics issues in Europe as part of our effort to bring you the most important information and insight from around the world.

Global Glimpses Blog

ESMA statement supports smooth implementation of LEI under MiFID II

Jaclyn Jaeger | January 2, 2018

The European Securities and Markets Authority issued a statement to support the smooth implementation of Legal Entity Identifiers requirements under the Markets in Financial Instruments Regulation.

Global Glimpses Blog

Bank of England: New approach to supervising global banks

Jaclyn Jaeger | January 2, 2018

The Bank of England announced that it is consulting on an updated approach to authorising and supervising branches of global banks and insurers, prompting responses from HM Treasury and the U.K. Financial Conduct Authority.

GRC Announcements Blog

OXIAL GDPR EXPRESS brings compliance for financial services firms

GRC Announcements | December 27, 2017

Mid-market financial services firms can now benefit from a fast, intelligent, and effective solution to achieving GDPR compliance, thanks to the new GDPR EXPRESS from new generation GRC solution provider OXIAL.

GRC Announcements Blog

D2 Legal Technology launches GDPR impact assessment service

GRC Announcements | December 27, 2017

D2 Legal Technology, a legal data consultancy, has launched a new solution and remediation service to help U.K. businesses achieve compliance with the EU General Data Protection Regulation and put in place data governance best practices.

Global Glimpses Blog

Swiss regulator: J.P. Morgan seriously breached AML regulations

Jaclyn Jaeger | December 26, 2017

The Swiss Financial Market Supervisory Authority, FINMA, concluded its enforcement proceedings against J.P. Morgan Chase, saying the bank "seriously breached" anti-money laundering regulations by failing to screen adequately transactions and business relationships booked in Switzerland associated with the Malaysian sovereign wealth fund 1MDB.

News Article

Taaks Avoyd: IKEA’s flat pack tax avoidance schemes

Paul Hodgson | January 9, 2017

A recent report details an extensive tax avoidance strategy by furniture retailer IKEA, prompting a call for a full-blown investigation of the company and its complicated corporate structure.

Global Glimpses Blog

U.K. whistleblowers still face professional risk

Neil Hodge | December 26, 2017

Despite calls for better protection for whistleblowers, recent actions within London’s financial services sector shows that even those protections are not enough.

Global Glimpses Blog

Safeguarding HSBC against Zupta

Paul Hodgson | December 26, 2017

HSBC’s new anti-money laundering (AML) and sanctions policies are due to be in place by the end of the year, but what form of compliance or enforcement will they take?

The Man From FCPA Blog

What is risk?

Tom Fox | December 15, 2017

Reports indicate the world’s largest cement manufacturer, LafargeHolcim is under investigation relating to its former operations in Syria.

Global Glimpses Blog

Financial Conduct Authority fines Bluefin £4m for misleading customers

Jaclyn Jaeger | December 6, 2017

The Financial Conduct Authority today fined Bluefin Insurance Services Limited £4 million for having inadequate systems and controls and failing to provide information to its customers about Bluefin’s independence in a way that was clear, fair, and not misleading.