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Headline Issue Diary Date
UK regulator fines and imposes a restriction on Canara Bank for anti-money laundering systems failings 25 CompliNEWS 14 Jun 2018
FSCA halts regulatory examinations conducted by the FPI 25 CompliNEWS 14 Jun 2018
Bill tabled to address fraudulent qualifications 25 CompliNEWS 14 Jun 2018
SEC charges Merrill Lynch for failure to supervise RMBS Traders; told to pay $10.5 Million to harmed customers 25 CompliNEWS 14 Jun 2018
FCA statement on thematic review into fair treatment of longstanding customers in the life insurance sector 25 CompliNEWS 14 Jun 2018
South Korea to tighten anti-money laundering rules 25 CompliNEWS 14 Jun 2018
JSE to change bond electronic trading platform rules 25 CompliNEWS 14 Jun 2018
New conduct regulator ‘more intensive, intrusive’ 25 CompliNEWS 14 Jun 2018
Corruption - Justice Department Settles Gaddafi-Libya FCPA cases with Société Générale and Legg Mason (Part I of III) 25 CompliNEWS 14 Jun 2018
Three more FSCA FAIS Notices published 25 CompliNEWS 14 Jun 2018
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Working Smart

By Lee Rossini

Although it is possible to manage with out-of-date software, sometimes upgrading software is an imperative. Regulatory scrutiny, data sensitivity, cybersecurity risks and operational continuity all demand a structured and disciplined approach. This can be a high-stakes project and success depends on aligning technology decisions with strategic, compliance and operational goals. Here are some guidelines to ensure success.

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