11/14/2017
Effective compliance with the Market Abuse Regulation – a state of mind
It is even less helpful when the subject matter is as technical as market abuse.
Legal, Regulation & Compliance
11/14/2017
Malta positions itself as new centre for Islamic finance in EU
FInanceMalta, a public-private initiative set up to promote Malta as an international financial centre, in its “Islamic Finance Sector Guide 2016” names a number of opportunities for the launch of Malta-based Islamic banking institutions and S
11/14/2017
Here is how Oman and Ireland are upgrading trade and technology ties
She noted that currently there is a lot of cooperation between the two countries.
11/14/2017
STM chief executive released from bail, shares resume trading
A second unnamed STM employee arrested with Kentish has also been released from bail without charge.
11/13/2017
Leading offshore law firm acts In Dutch transaction
DIFC based investment advisory firm regulated by the Dubai Financial Services Authority.
11/13/2017
MiFID II research rules concern bond managers
Another part of the rules will enhance pre- and post-trade reporting requirements.
11/13/2017
Directors Hit With 15-Year Ban Over $233K 'Bank Scam'
The directors persuaded a U.S. investor to pay €200,000 into a bank account held in Liechtenstein.
11/13/2017
Five jailed for £100m tax scheme scam exploiting celebrities
The scheme was led by 55-year old Michael Richards, an environmental scientist and Cambridge graduate.
11/13/2017
Regulator drops Mifid II research shock on sales forces
‘Simply because it’s coming out of the front office doesn’t mean it’s immediately out of scope,’ Rosenman said.
11/13/2017
MPs urged to pass funds to help those hit by banking crisis
The minister said that the government also proposes utilising specific assets that would add even greater value to the fund.
11/13/2017
NY state regulator fines Credit Suisse $135 mln over forex practices
The agreement is the latest in a string of global regulatory settlements with big Wall Street banks over forex trading practices.
11/13/2017
Bank Of England Takes Over Payments Delivery System
The governance and rulebook for the high-value payment system.
11/12/2017
We’ll all pay a price for these leaks
There are perfectly legitimate reasons for individuals or companies to keep bank accounts private.
11/12/2017
FCA Warns Research Pay Rules Extend to Sales and Trading
Asset managers will have to pay financial institutions directly for research instead of combining the cost with trading commissions.
11/10/2017
Herbert Smith Freehills - Financial regulation update
ESMA: consultation on SI quote rules under MiFID II
11/10/2017
New guards of the City take aim at corporate delinquents
Stewardship, which for years languished in relative obscurity, is now in the spotlight
11/10/2017
FCA orders Capita to return £66m to investors in failed Ucis fund
The Fund was an unregulated collective investment scheme (UCIS) which commenced operation in March 2008
11/10/2017
International law firm to create 50 jobs in latest recruitment drive
The company now employs more than 500 staff at its base in the city.
11/09/2017
Barclays, ex-CEO seek to postpone trial in $1bn lawsuit
In front of a packed courtroom at the Commercial Court in London, they asked that the PCP trial be postponed until the conclusion of the criminal trial, which is scheduled for April 2019.
11/09/2017
Netherlands to investigate 4,000 corporate tax deals
Questions raised over procedures followed in agreement with Procter & Gamble