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Legal, Regulation & Compliance

06/28/2024

EU watchdog calls out banks for inflating capital buffers

They convert into equity or are written off if a bank's capital drops below a certain level.

06/27/2024

The EU Corporate Sustainability Due Diligence Directive is final: how can companies prepare?

Many companies that will face extensive obligations under the CSDDD will also be subject to requirements pursuant to the Corporate Sustainability Reporting Directive

06/27/2024

Private Client and Trusts team shortlisted for two STEP awards

The STEP Private Client Awards are seen as the hallmark of quality within the private client industry.

06/26/2024

Federal Council confirms implementation of final Basel III standard with effect from 1 January 2025

The Federal Council took note of the most recent developments.

06/25/2024

Killik & Co accused of ‘unethical’ behaviour after bypassing adviser

They kept saying ‘this is unethical, they shouldn’t be doing this?

06/25/2024

FCA regulatory updates 2024: what’s happened so far?

IQ-EQ has compliance consulting teams based in the U.S., UK, Hong Kong and Singapore as well as the Middle East, Continental Europe and Japan.

06/24/2024

FCA takes action against three individuals from SVS Securities for mistreatment of pension funds

The FCA has decided to ban and fine 3 individuals who were involved in running SVS Securities Plc (SVS), a discretionary fund manager.

06/24/2024

Pension fund administrator obtains Finma approval

Pekam offers specialised services for pension funds that outsource their administrative tasks

06/21/2024

St James’s Place under scrutiny: what do its customers say?

New regulations introduced last summer

06/21/2024

IHT receipts surge 16.6% amid UK election manifesto pledges

OBR’s forecast paints IHT as an increasingly lucrative source of income for the government

06/21/2024

Citigroup fined $14mln in Germany for regulatory lapses

The fine was announced by German regulator BaFin on Thursday and targeted at Citigroup Global Markets Europe AG

06/21/2024

Profitability of EU banks remains resilient although the sector is confronted with materialising credit risks

EU/EEA’s banks continue to benefit from wide interest margins improving further their profitability and capital position.

06/20/2024

Euro Banking Association publishes paper on navigating the path to embedded finance

The key objectives of the report are to spark, structure and inform a discussion about how financial institutions will likely be affected by the embedded finance trend and what a collaborative approach in this area could look like.

06/20/2024

Monetary policy assessment of 20 June 2024

Swiss National Bank eases monetary policy and lowers SNB policy rate to 1.25%

06/20/2024

Bank crisis management and deposit insurance framework: Council agrees on its position

With this agreement, the Council is ready to engage in negotiations with the European Parliament on the final shape of the legislation.

06/19/2024

HSBC Switzerland violates money laundering guidelines

Regulating money laundering was broken by HSBC Switzerland.

06/19/2024

EU to delay core element of Basel bank capital reforms by one year

Countries are introducing the last batch of a global bank capital accord known as Basel III, rolled out after taxpayers were forced to bail out lenders in the global financial crisis of 2007-09.

06/19/2024

Annual compliance filing requirements for a Dutch BV

The statutory deadline to file is within 12 months after the financial year-end.

06/18/2024

Firm fails with FSCS over inadequate pension advice

The firm has also been trading under the name Manning Gee Investments.

06/18/2024

Pensioner awarded £77k from DWP after adviser spots error

Mrs B had worked for her husband's company and was paid a low wage for NI purposes.

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