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Legal, Regulation & Compliance

08/29/2017

ECB hands Irish lender first fine as bank supervisor

The bank went through a restructuring and received cash from the Irish government in the wake of the 2008 financial crisis.

08/29/2017

Ex-Lloyds risk officer had concerns over HBOS loan facility

Court documents claim executive warned on wisdom of £10bn transaction

08/29/2017

Mitie investigated by financial watchdog over profit warning last year

Mitie said that it is fully cooperating with the FCA

08/29/2017

Isle of Man strengthens Commonwealth connection

The Commonwealth Enterprise and Investment Council brings government heads and business leaders together to promote trade and investment across the Commonwealth

08/25/2017

Herbert Smith Freehills - Financial regulation update

ESMA guidelines on data transfer between TRS under EMIR

08/25/2017

Bloomberg granted FCA approval for MiFID II reporting product

As a component of Bloomberg’s pre-integrated MiFID II solution, Bloomberg’s APA will allow the seamless publication of required trade details when MiFID II goes into force.

08/25/2017

Two SocGen managers accused of Libor manipulation

Prosecutors claim their actions caused roughly $170m of harm to financial markets

08/25/2017

Romanian government may cut private pension contributions

Certain numbers are concerning to us regarding pensioners that have only accessed the second pillar

08/25/2017

Luxembourg professor joins global experts to research FinTech law and regulation

They include the impact of big data on the financial system

08/24/2017

Herbert Smith Freehills - Financial regulation update

Payment systems supervision MOU

08/24/2017

Amsterdam’s Secret Brexit Sauce Is a Friendly Regulator

Now, with fewer than two years until the U.K. leaves the European Union, local trading firms are helping to showcase Amsterdam’s attractions.

08/24/2017

Wealth managers risk fines over offshore asset warning letters

If you have money or other assets abroad, you could owe tax in the UK

08/24/2017

FCA finds compliance officer with 20-yr record unfit for role

He was COO and head of compliance at a UK wealth management firm.

08/24/2017

Dutch government demands €13m in negative interest from Deutsche Bank

All other counterparties with the Dutch state are paying negative interest on the collateral that is held in cash.

08/23/2017

Pensions regulator launches prosecution against BHS man

The notices requiring information were issued to Mr Chappell on 26 April 2016, 13 May 2016 and 20 February 2017.

08/23/2017

Herbert Smith Freehills - Financial regulation update

OJ: ECB decision on the provision of supervisory data

08/23/2017

Carey Olsen advises Permira investment partnership

The deal value and stake in Klarna is undisclosed and it is Permira’s first foray into the Fintech sector.

08/22/2017

EBA urged to follow Singapore's approach to the regulation of cloud outsourcing by banks

The firms must be able to demonstrate their compliance to the regulator.

08/22/2017

Former Lloyds CEO sues for unpaid bonuses

It was unclear how much Tate, who resigned from Lloyds a year after Daniels, is seeking.

08/22/2017

Herbert Smith Freehills - Financial regulation update

European Commission: MIFIR delegated regulation on treatment of package orders

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