05/25/2017
Code of conduct unveiled for MiFID II research unbundling
Targets buy-side best practice
05/25/2017
Targets buy-side best practice
05/24/2017
About half of the salesmen in DeVere’s New York office have quit or been fired in recent weeks, they say.
05/24/2017
The Central Criminal Court has made confiscation orders against the two final defendants who were convicted of offences following one of the FCA’s largest investigations into unauthorised activity.
05/24/2017
Barclays said it will vigorously defend the claim of £1bn in compensation and £600,000 for alleged misrepresentation.
05/24/2017
ESMA consultation paper on MMF rules
05/24/2017
The Vision Fund now has the ability to begin making investments immediately.
05/24/2017
The violations announced today include major deficiencies in the Bank’s oversight that allowed nearly unfettered misconduct by more than a dozen BNPP traders and salespeople.
05/23/2017
Promoters of the scams persuaded clients to buy a long lease on a storage unit or pod
05/23/2017
Trial adjourned a second day as most shareholders plan to accept bank’s latest offer
05/23/2017
Rosell is accused of selling TV rights for the Brazilian football team through companies in tax havens
05/23/2017
The Isle of Man financial regulator is to crack down on collective investment funds by setting out “effective” guidance rules to “safeguard the reputation of the island”.
05/23/2017
RRD - delegated regulation on partial property transfer
05/23/2017
When winding down investment managers there are also a number of common issues arising.
05/23/2017
But the appeals court panel upheld the ruling on Tuesday.
05/22/2017
EU regulators will seek to pull business across the Channel unless challenged
05/22/2017
It noted the case dated back to when it was majority owned by another business.
05/22/2017
The Competition and Markets Authority opens an investigation which Standard Life says was triggered when it 'filed an application' over the proposed deal
05/22/2017
Pre-trade and post-trade transparency requirements on market operators and investment firms operating a trading venue as well as for investment firms (including systematic internalisers) operating over-the-counter (OTC); and transaction reporting obligati
05/19/2017
As the European Central Bank pushes to accelerate its Capital Markets Union program, fund firms are told to expect a single, cross-border regulator.
05/18/2017
MainstreamBPO chief executive Martin Smith said the strategy will bring "critical mass" to its operational capability and clients within Europe and the Caribbean.