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Legal, Regulation & Compliance

04/30/2020

FSCS declares dubious DFM in default

Our claims-handlers are empathetic and support is available throughout the process

04/30/2020

Equity Finance: Matching Liability to Power

The Covid-19 has illustrated the dangers of excessive debt ratios. Amongst the several causes of such debt accumulation

04/29/2020

COVID-19: Regulators' statements on changes to business interruption loan schemes

The PRA's statement considers the eligibility of the Government's guarantees under the Schemes for recognition as unfunded credit risk mitigation (CRM) under the Capital Requirements Regulation (CRR).

04/29/2020

Banking Litigation Update

The past six months have been a busy period for securities class actions.

04/29/2020

UK regulator ends probe of ex-Barclays banker Roger Jenkins -lawyer

The FCA has discontinued their warning notice,” he said.

04/29/2020

Warning against drastic changes to pension savings during uncertain environment

Scammers are also taking advantage of the unprecedented environment to try and tempt savers away from their retirement funds.

04/29/2020

IFA numbers fall for first time since RDR

Commentators have suggested the figures indicate the growing pressures facing advice businesses.

04/28/2020

ESMA and European legislators clash over PRIIPs reforms - reports

In a letter to ESMA, the EC expressed "serious concerns" as to the legality of the regulator's proposals.

04/28/2020

Stranded expats grapple with tax implications of covid-19 lockdown

A spokesman for HMRC, Britain's tax office, told i-Expats: "Events resulting from the impact of the virus are changing rapidly and this guidance may change at short notice as situations change."

04/28/2020

Metro bank to refund customers £10.5m plus interest

It is designed to give customers time to act and can avoid unexpected fees. Unarranged overdrafts or unauthorised overdrafts are not pre-agreed.

04/28/2020

Coronavirus challenges could prompt delays to money-laundering investigations

Investigations and enforcement actions are likely to be "drawn out" in the lockdown period, and banks will face "a much slower process" in dealing with their regulators.

04/28/2020

FCA commences civil proceedings in relation to alleged unauthorised investment advisers

The FCA has secured an interim injunction stopping these activities from continuing and freezing the defendants’ assets up to £624,311 pending further hearing.

04/28/2020

EFAMA calls for urgent completion of regulation review to protect retail investors

To achieve this, a PRIIP KID that provides retail investors with the right information becomes ever more crucial in helping them to make the most informed investment decisions.

04/28/2020

FCA bans insider trader 7 years after conviction

In 2013 the court also ordered Mr Milsom to pay £245,657.58, the amount he personally gained from the £400,000 profit made by the insider trading.

04/27/2020

European Commission approves Malta's €215 million wage subsidy scheme

The Commission concluded that the Maltese measure was "necessary, appropriate and proportionate to remedy a serious disturbance in the economy of a Member State."

04/27/2020

New Jersey law regulation provides temporary arrangements to enable wills to be witnessed by audio-visual link

Such face-to-face contact lies at odds with the social distancing measures that we are required to undertake for the foreseeable future.

04/27/2020

Supervisor-centred automation – the role of human-centred automation in judgement-centred prudential supervision by James Proudman

The first question is whether advances in technology can help improve regulatory data and the way it is collected.

04/26/2020

UK Merger Control: The CMA's Ability To Reject Remedy Proposals

The CAT's judgment confirms the CMA's ability to reject proposed remedies where it does not have a high degree of confidence that these will effectively address identified competitive concerns.

04/26/2020

Central Bank of Ireland offers flexibility around regulations amid COVID-19

To help firms, the Central Bank of Ireland is clarifying its expectations relating to the deadlines for the submission of assurance reports

04/26/2020

The impact of the global lockdown on corporate debt restructuring and trustees

Trustees would need to have suitable indemnities and legal counsel opinions in order to get comfortable with the meeting.

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