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Legal, Regulation & Compliance

06/06/2017

FCA issues Welsh advice firm with skilled person review

This does not always mean the FCA believes there will be redress owed to clients when it places these restrictions.

06/06/2017

Banks in Asia hit by long arm of EU’s Mifid 2 rules

European investor protection rules set to push up compliance costs elsewhere

06/06/2017

ESMA Final Report on MiFID II Product Governance Requirements

The rules originated from an existing FCA regime

06/05/2017

BVI's new beneficial ownership regime scheduled to take effect on 1 July 2017

This update is based on the latest available draft legislation on BOSS and other information made available by the BVI Government to the industry.

06/05/2017

Lloyds investors to go ahead with £350m lawsuit despite Royal Bank of Scotland stance

We want justice and for people to be held to account.

06/05/2017

Deutsche Bank will not facilitate Trump’s Russia investigation

The German lender was fined $630 million in January for organizing mirror-trading operations that could be used to launder Russian money.

06/05/2017

Bank of Portugal attacks EU bank measures

Portuguese banks in 2012 were obliged to restructure their businesses in line with plans approved by the European Commission.

06/05/2017

IoM considers changes to commission disclosure rule

The change is likely to be announced in response to industry feedback to the consultation on the latest draft, which ends 16 June 2017.

06/05/2017

Regulatory Change Identified as the Key Driver for Fixed Income Market Structure Change in Europe

Despite this, there is clear progress being made and the industry appears keen to take advantage of the additional data soon to be available in the market as a result of the regulation

06/05/2017

ESMA Final Report on MiFID II Product Governance Requirements

Firms have since grappled with where the proportionality dial should sit when establishing practical implementation frameworks.

06/04/2017

FCA Warns Dividend Arbitrage Could Link To Financial Crime

The Financial Conduct Authority said a recent review of firms engaged in so-called dividend arbitrage used to place shares in alternative tax jurisdictions with the aim of minimizing withholding taxes.

06/04/2017

BNP Paribas fined for failing to fight money laundering

The failures had an effect on France's entire effort to fight money laundering and terror finance.

06/02/2017

FCA bans jailed former Schroders trader

The FCA prohibited Clarke from performing any function in relation to regulated activities.

06/02/2017

Anti-Money Laundering and AI at HSBC

HSBC saw past this false choice and transformed its AML process using enterprise grade AI.

06/02/2017

Mourant Ozannes advises on largest ever European Private Equity firm fundraising

The Mourant Ozannes team was led by Felicia de Laat and senior associates Rachel Fowler and Matt McManus with assistance from colleagues in the funds, finance and corporate and other teams.

06/02/2017

Leading offshore law firm acts on top three private equity transactions in first quarter 2017

The firm’s team of more than 40 professionals handles complex, cross-border matters for many of Europe’s highest-profile and most prestigious funds and transactions.

06/02/2017

Global Foreign Exchange Code Of Conduct Published

We share the view that the global code plays an important role in assisting that process and in helping improve market functioning.

06/02/2017

Register of ownership of UK property through overseas companies - privacy in debate

The introduction of the government's People with Significant Control (PSC) register on 6 April 2016 has resulted in greater transparency of ownership of UK companies

06/01/2017

Regulator demands detailed Brexit plans from UK asset managers

Regulator demands detailed Brexit plans from UK asset managers

06/01/2017

EU Council adopts hybrid mismatches directive

The EU Commission will introduce a transparency initiative proposing for intermediaries to report cross-border tax planning schemes.

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