03/05/2025
Currently, there are 1,283 liquid shares and 1,003 liquid equity-like instruments other than shares, subject to MiFID II/MiFIR transparency requirements.
03/05/2025
Deutsche Bank had violated organizational obligations under the Securities Trading Act in connection with the sale of currency derivatives in Spain.
03/05/2025
These factors have encouraged consolidation within the sector and favoured those businesses which are able to achieve scale both in terms of assets under management and distribution.
03/04/2025
FINMA has engaged Valfor Avocats Sàrl as the bankruptcy liquidator.
03/04/2025
The former Credit Suisse managing directors have been banned for lacking integrity, following US convictions for arranging corrupt loans to the Republic of Mozambique.
03/03/2025
They are also charged with using false documents in the process of committing the alleged fraud.
03/03/2025
They have also been charged with using false documents in the process of committing the alleged fraud.
02/28/2025
Off-channel communications are communications (including calls and written messages) made through channels not approved by the employer and to which neither employers nor regulators have access.
02/28/2025
The EBA benchmarking exercise is the basis for both the supervisory assessment and the horizontal analysis of the outcome of internal models.
02/28/2025
All changes are effective on March 1, 2025, and have been approved by FINMA.
02/27/2025
Speech by Sarah Pritchard, executive director of consumers, competition and international, at the Investment Association Roundtable.
02/27/2025
It comes after thousands of pounds were said to have been spent on luxury crystal glasses, cases of sparkling wine and thousands of pounds at private members’ clubs, Mail Online reports.
02/27/2025
This is a result of the new lease agreement which it has concluded with Commerz Real.
02/27/2025
With this acquisition, Canaccord was able to add to its existing capabilities in Guernsey, the Isle of Man, and Jersey
02/26/2025
The peak of the annual burdens has probably been passed," Bundesbank President Joachim Nagel said at a presentation in Frankfurt.
02/26/2025
Mr Dance was charged in December 2024 with alleged misappropriation of £64 million of customer funds between 2014 and 2023.
02/25/2025
The deal completed last week following necessary regulatory approvals.
02/24/2025
With the rise of social media and advanced scamming techniques, banks are increasingly confronted with a type of fraud called Authorized Push Payments (APP).
02/24/2025
The review focused on delivery of suitability reviews as firms generally included these as part of their ongoing advice service.
02/21/2025
The GFSC imposed a reduced fine of £294,350 with ‘full cooperation’ from Blacktower