Recent Reg-Track Rules

Here are some of the recent rules on Reg-Track, that we have made available.

  1. On Feb. 21, ASIC welcomed passing of new whistleblowing laws.

  2. On Feb. 21, CBRC issued admin measures on AML/CFT of banks.

  3. On Feb. 21, MA SD charged adviser misappropriating funds.

  4. On Feb. 21, EU CMSN proposed climate-related information.

  5. On Feb. 21, OFAC issued fined US firm breaching Iran sanctions.

  6. On Feb. 20, Treasury OFAC sanctioned Indian narcotics trafficker.

  7. On Feb. 20, SEC settled in self-reported unregistered ICO case.

  8. On Feb. 20, UBS said was fined €4.5bn by French court for AML tax.

  9. On Feb. 20, FR CNIL issued note on data transfer if no Brexit deal.

  10. On Feb. 20, AFCA backed GVT extended complaints remit.