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Legal, Regulation & Compliance

11/13/2017

Leading offshore law firm acts In Dutch transaction

DIFC based investment advisory firm regulated by the Dubai Financial Services Authority.

11/13/2017

MiFID II research rules concern bond managers

Another part of the rules will enhance pre- and post-trade reporting requirements.

11/13/2017

Directors Hit With 15-Year Ban Over $233K 'Bank Scam'

The directors persuaded a U.S. investor to pay €200,000 into a bank account held in Liechtenstein.

11/13/2017

Five jailed for £100m tax scheme scam exploiting celebrities

The scheme was led by 55-year old Michael Richards, an environmental scientist and Cambridge graduate.

11/13/2017

Regulator drops Mifid II research shock on sales forces

‘Simply because it’s coming out of the front office doesn’t mean it’s immediately out of scope,’ Rosenman said.

11/13/2017

MPs urged to pass funds to help those hit by banking crisis

The minister said that the government also proposes utilising specific assets that would add even greater value to the fund.

11/13/2017

NY state regulator fines Credit Suisse $135 mln over forex practices

The agreement is the latest in a string of global regulatory settlements with big Wall Street banks over forex trading practices.

11/13/2017

Bank Of England Takes Over Payments Delivery System

The governance and rulebook for the high-value payment system.

11/12/2017

We’ll all pay a price for these leaks

There are perfectly legitimate reasons for individuals or companies to keep bank accounts private.

11/12/2017

FCA Warns Research Pay Rules Extend to Sales and Trading

Asset managers will have to pay financial institutions directly for research instead of combining the cost with trading commissions.

11/10/2017

Herbert Smith Freehills - Financial regulation update

ESMA: consultation on SI quote rules under MiFID II

11/10/2017

New guards of the City take aim at corporate delinquents

Stewardship, which for years languished in relative obscurity, is now in the spotlight

11/10/2017

FCA orders Capita to return £66m to investors in failed Ucis fund

The Fund was an unregulated collective investment scheme (UCIS) which commenced operation in March 2008

11/10/2017

International law firm to create 50 jobs in latest recruitment drive

The company now employs more than 500 staff at its base in the city.

11/09/2017

Barclays, ex-CEO seek to postpone trial in $1bn lawsuit

In front of a packed courtroom at the Commercial Court in London, they asked that the PCP trial be postponed until the conclusion of the criminal trial, which is scheduled for April 2019.

11/09/2017

Netherlands to investigate 4,000 corporate tax deals

Questions raised over procedures followed in agreement with Procter & Gamble

11/09/2017

Regulator to investigate Dekabank’s planned takeover of Gibson Hotel

German group recently emerged as likely buyer of former Harry Crosbie property

11/09/2017

Herbert Smith Freehills - Financial regulation update

FCA Wholesale Insurance Brokers Market Study

11/09/2017

Swiss Man Who Spied On German Tax Officials Avoids Jail Time

A Swiss Man Who Admitted To Spying On German Tax Officials Was Given A Suspended Sentence And Fined By A German Court

11/09/2017

O’Reilly told Bermuda trust not to contact beneficiary daughters

Businessman’s daughters were unaware of trust’s existence, documents indicate

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