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Legal, Regulation & Compliance

10/02/2023

Finance Committee Republicans press IRS chief counsel nominee on Pillar Two, Inflation Reduction Act guidance

William Paul, the current principal deputy chief counsel, has been serving as acting chief counsel in the interim.

10/02/2023

FCA confirms leasehold buildings insurance reforms

Insurers will also be required to ensure that their insurance policies provide fair value to leaseholders and provide important information about their policy and its pricing

10/02/2023

Dutch government mandates accounting for employee mobility

This includes employee distance travelled by means of transport and fuel type.

10/02/2023

NatWest employee jailed over £1mn theft from customers

A number of the accounts were held by people who lived outside the jurisdiction, the majority of which had significant balances in them.

10/02/2023

Watchdog installs monitor at Deutsche Bank after surge in Postbank complaints

The issue is a setback for Deutsche Bank's effort to restore credibility after fines for lapses in money laundering controls, raids by authorities and other penalties.

09/29/2023

FCA takes action against Darren Reynolds and Andrew Deeney of Active Wealth for dishonest pension transfer advice

These payments were funnelled via companies connected to Mr Reynolds and were intentionally designed to disguise their true origins.

09/29/2023

Quilter Cheviot Jersey to establish new financial planning capabilities

His appointment will be followed by a number of financial planner hires as the Jersey office grows its client-facing team on the island.

09/29/2023

Esma work programme to focus on digital change and the green transition

2024 will be an important year for the European Union as a whole, with a new Parliament and Commission following the elections next June.

09/29/2023

FCA to send another financial resilience survey

They will receive an automated reminder via RegData when the return is available for submission.

09/28/2023

FCA set to launch private markets review

The regulator is preparing to look into valuations in private markets.

09/28/2023

Swiss banking stands before the courts of morality

Of course, it can be argued that these specific incidents happened many years ago - and the world has changed in the meantime.

09/28/2023

Addleshaw Goddard: Financial Services & Banking News

The consultation sets out the PRA's proposed clarifications and amendments when capitalising foreign exchange exposures under the market risk capital framework.

09/27/2023

The EBA second mandatory exercise on Basel III full implementation shows a significantly reduced impact on EU banks with shortfalls nearly fully absorbed

The overall impact includes the economic impact of the Covid-19 pandemic that had materialised up until December 2022, the reference date of this Report.

09/27/2023

UK Regulators Come Together to Warn Against Using Harmful Online Design

Both regulators stressed their commitment to take formal enforcement action where necessary to protect consumers.

09/26/2023

The FCA and PRA propose measures to boost diversity and inclusion in financial services  

The proposals include new rules and guidance to make clear that misconduct such as bullying and sexual harassment poses a risk to healthy firm culture.

09/26/2023

ECB needs to be cautious about doing too much on rates - Villeroy

The ECB raised its main interest rate to a record high 4% this month after 10 successive hikes, but signalled a pause in October.

09/26/2023

FCA: financial knowledge must improve for markets to thrive

The authority outlined that, for them, “confidence is key” as “markets work well if there is investor and consumer confidence”.

09/26/2023

FCA: Changes to listing rules will make UK 'market of choice'

Under planned changes the FCA would replace its existing ‘standard' and ‘premium' listing segments with a single category for equity shares in commercial companies.

09/25/2023

EBA launches 2023 EU-wide transparency exercise

The EBA expects to publish the results at the beginning of December, together with the annual Risk Assessment Report.

09/25/2023

Advice/Guidance review may lead to simpler advice services as part of a wholesale review, says FCA

All of which would help them make better informed financial decisions.

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Finance Committee Republicans press IRS chief counsel nominee on Pillar Two, Inflation Reduction Act guidance

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The FCA and PRA propose measures to boost diversity and inclusion in financial services  

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Vega exits stealth with over $8 million in funding to reshape wealth management

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The Verve Group launches single dashboard adviser software

09-27-2023

UK-based model portfolio service provider raises £10m

09-26-2023

New Best Funds List revealed: Bestinvest names the funds favoured by its investment research teams

09-27-2023

Swiss banking stands before the courts of morality

09-28-2023

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10-02-2023

BBVA Names Belén Blanco Jerez as Chief Executive Officer for Its European Asset Management Business

10-02-2023

How will Ireland put its newfound wealth to work?

10-02-2023

Finance Committee Republicans press IRS chief counsel nominee on Pillar Two, Inflation Reduction Act guidance

10-02-2023

FCA confirms leasehold buildings insurance reforms

10-02-2023

Property and mortgage data point to housing slump, but interest rates offer a chink of optimism

10-02-2023

GDP data shows bright spots but economic challenges remain

10-02-2023

Dutch government mandates accounting for employee mobility

10-02-2023

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