02/08/2019
The rules, which are set to be rolled out to advisers later this year, require senior managers within firms to have statements of responsibility to establish lines of accountability, while testiying the competence of more junior staff on a regular basis.
02/08/2019
If a last-minute deal can be reached, or no deal does not result in chaos, then domestically focussed smaller companies are likely to be beneficiaries.
02/07/2019
There are fines for failing to comply with a notice, and criminal offences for destroying or tampering with documents.
02/07/2019
The implementation of the SCWP will be closely monitored and priorities may be readjusted depending on possible changes in the EU environment in 2019.
02/07/2019
Colabella looks at data from 2004, before the ECB adopted quantitative easing policies, to 2016. He uses the “shadow interest
02/07/2019
Transferring ABN AMRO's Escrow & Settlement business to Intertrust is in line with the bank's strategic focus on its core banking activities
02/07/2019
Since Julius Baer fulfilled its obligations under the DPA, the U.S. Attorney’s Office for the Southern District of New York filed a motion to dismiss the charges.
02/07/2019
Full details will be provided then, but the powers were provided to us to help avoid significant short-term disruption in a no-deal scenario.
02/07/2019
ECB Banking Supervision will test adverse and extreme hypothetical shocks in which banks face increasing liquidity outflows.
02/07/2019
The most common scams reported involved investments in shares and bonds, forex and cryptocurrencies
02/07/2019
The obligation to provide the information is on the originator, original lender or SPV. Failure to do so can result in administrative sanctions, remedial measures (including financial) and may also carry criminal sanctions.
02/07/2019
This regulation was adopted in 2012 following the financial crisis to better manage and monitor the risks arising from derivatives markets for financial stability.
02/07/2019
The merger underpins Blackadders’ investment in people and our business infrastructure to reinforce our position for continued, strategic growth.
02/06/2019
ESMA’s statement aims to inform stakeholders on the approach it will take on all ESMA IT applications and databases.
02/06/2019
This will lead to more choice for investors, at lower costs - an important milestone for the Capital Markets Union.
02/06/2019
The sentence followed earlier guilty pleas to 4 charges relating to misleading consumers, fraud and the illegal operation of an unauthorised investment scheme worth over half a million pounds.
02/06/2019
Speech by Andrew Bailey, Chief Executive of the FCA, at the PIMFA Wealth of Diversity Conference 2019.
02/06/2019
ESMA has previously communicated, in its public statements of 23 November and 19 December 2018
02/06/2019
Central Bank of Ireland's Brexit update on location requirement for directors and designated persons of fund management companies
02/06/2019
UBS — which said it was forced to take the move because of the U.K.'s plan to leave the European Union — is the latest bank to go to court for permission to activate Brexit plans, with the country's scheduled departure now just weeks