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Legal, Regulation & Compliance

06/24/2022

Client left to courts after CMC failed to pay Fos award

He said when he spoke to the firm in July 2020, he was told his case had been passed to a law firm.

06/24/2022

Tax authorities issue guidance on amended RETT rules

“Grandfathering” and transition rules apply to manage the change from the former rules to the amended rules.

06/24/2022

Carey Olsen named a finalist for two STEP Private Client Awards

This year's awards also saw a record number of nominations, with 337 submissions from 27 countries for the 21 categories available.

06/24/2022

What did the monetarists ever do for us? − speech by Huw Pill

The current challenge for UK monetary policy is to contain those second round effects and return inflation to target as global energy and goods prices stabilise or revert in the coming years.

06/23/2022

25% of UK advisers unaware of incoming Consumer Duty rules

Platform providers in demand to help deal with the changes

06/23/2022

FCA fines insurance broker JLT Specialty Limited £7.8m for financial crime control failings

JLTSL placed business in the London reinsurance market for JLT Re Colombia, another company in the JLT group.

06/23/2022

UK Pensions – Enhanced climate change reporting requirements from 1 October

Trustees now need to get up to speed quickly with these new requirements, as well as watching this space for further developments in this rapidly evolving area.

06/23/2022

Irish Central Bank: insurance platforms must ensure suitability of senior staff

Ireland continues to be among one of the most attractive locations within the EU to establish an insurance or reinsurance intermediary (together, ‘intermediary’) platform.

06/23/2022

Confederation arranges for implementation of OECD minimum tax rate in Switzerland

The supplementary tax is limited to large corporate groups with worldwide turnover of at least EUR 750 million

06/23/2022

Changes to FCA Firm Reference Numbers (FRNs) and Product Reference Numbers (PRNs)

The Financial Conduct Authority (FCA) published a statement on the plan to move to a seven-digit FRNs and PRNs for newly registered firms and funds.

06/23/2022

Rockwood Strategic says corporate dispute led to 'significant costs'

£1.1m for corporate actions

06/22/2022

German central bank believes retirement age must be linked to life expectancy

Since 1871, the life expectancy in Germany more than doubled to currently 78.6 years for men and 83.4 years for women, according to the Federal Statistical Office (Destatis).

06/22/2022

British Lawmakers Urge Wimbledon to Drop HSBC Sponsorship

This is not the first time that sporting event organizers were criticized for partnerships with banks in Hong Kong that backed the security law.

06/22/2022

Addleshaw Goddard: Financial Services & Banking News

The Recommendations were introduced to guard against a loosening in mortgage underwriting standards and a material increase in household indebtedness.

06/22/2022

Publication of 2021 FIAU Annual Report

These changes present challenges on all levels of operations, be it intelligence, supervision and enforcement.

06/22/2022

A tale of two markets: Regulatory divergence between the EU and UK securitisation frameworks

It will be interesting to see how these approaches shape the (two) market(s) as divergence increases.

06/22/2022

Obtaining imaging orders from the English courts

The goal of these orders is to preserve evidence at risk of being wiped or destroyed by the responding party.

06/22/2022

UK prepares for modernisation of Consumer Credit Act

HM Treasury announced it would publish a consultation on the planned reforms to the Consumer Credit Act (CCA) by the end of 2022.

06/22/2022

Advice firm unveils portfolio management service

It will feature a mix of active and passive funds

06/21/2022

Investment firm charged over selling high-risk bonds to retirees

Products were ‘only suitable for customers with substantial financial resources’

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