08/06/2018
Rawlison said the firm was climbing up the value chain in the mandates it acted on, pointing to the 13% growth in profits outpacing the increase in revenue.
08/06/2018
Customers were subjected to highly pressurised sales tactics and were misled about the amount of returns made on investments.
08/06/2018
Mr Shah is due to appear at Brighton Magistrates Court on 15 August 2018.
08/06/2018
The wealth management firm will “vigorously defend itself” if claims are advanced
08/06/2018
It's too soon to know if criminal charges will result, said the prosecutor. "We are very concerned that every stone in this case is turned over."
08/06/2018
Dispute between Italian bank and hedge fund over complex debt instrument deepens
08/03/2018
The publication of the data for the SI calculations for derivatives and other instruments will start on 1 February 2019 as set out in the plan announced by ESMA on 12 July 2018.
08/03/2018
"The judgment is a big success for UBS, and it took a lot of effort. In a first hearing, UBS struggled to be named a party in the case and to access the French files," Jacquemart said.
08/03/2018
The five firms described the credit opinions they gave clients as “shadow ratings”. They contained credit opinions on different borrowers and instruments, as well as rating scales.
08/03/2018
Personal data"’ means any data that relates to an individual who can be identified from that data
08/03/2018
Compliance with the CRS is not a choice; it’s an obligation. And the penalties for non-compliance are severe.
08/03/2018
He then pleaded guilty on the day of trial to one count of theft from the cricket club.
08/02/2018
Firms have also expressed a need for solutions to value the research, budget for it, and report back to their clients.
08/02/2018
The Tribunal found TailorMade's customers were given bad advice to transfer into a Sipp which was to be invested in either a single, or a very small number of, inherently risky overseas property investments - notably Harlequin.
08/02/2018
We fully support ESMA’s measures, which are designed to protect retail investors.
08/02/2018
The Tribunal also directed the FCA to impose a fine on Mr Burns of £60,000 on the basis that he had breached the FCA’s Statement of Principle 7 by failing to ensure that TMI complied with its obligations under the regulatory regime.
08/02/2018
The report also identifies the more recent development and use of price constraint mechanisms that, rather than simply halting trading, reject or constrain certain ordersto allow trading and price formation to continue.
08/01/2018
City watchdog says its inability to discipline bank in no way means it condones behaviour
08/01/2018
The GDPR places new obligations on employers to self-report qualifying personal data breaches to the ICO within 72 hours of a breach becoming known.
08/01/2018
Generali will receive approximately €409 million in base consideration