07/25/2016
ESMA found certain senior analysts in Fitch transmitted information about upcoming rating actions on sovereign ratings to certain senior persons in a parent company of Fitch before it was made public
07/25/2016
Guernsey to be evaluated as a trusted jurisdiction that continues to provide a stable and competitive environment for business.
07/25/2016
This leads naturally to the question of what we should expect in August.
07/25/2016
A clearing house is a counterparty that sits in the middle of a transaction between buyer and seller with the aim of reducing risk.
07/25/2016
Whilst the long term effects of Brexit remain to be seen, we have been encouraged by the number of new mandates we have secured.
07/25/2016
Shift toward fiscal policy may boost banks and steepen curves.
07/22/2016
The UK financial regulatory authority issued the RegTech Call for Input in November 2015 to seek broader views on how it should progress and prioritise its work in this space.
07/22/2016
Santander — which uses the slightly darker HKS 14 — has been trying for six years to get the German Patent and Trademark Office to delete its rivals' trademark.
07/22/2016
An adjudicator previously let both parties know he was of the opinion that the should be upheld.
07/22/2016
All three are suspected of involvement in a scheme that used Jersey-based offshore trusts to allow individuals to avoid around £132m in income tax.
07/22/2016
The principal firm has regulatory responsibility for the appointed representative and generally, in the regulatory context, anything that the appointed representative has done or omitted to do is treated as having been done or omitted to be done by the pr
07/22/2016
From 3 July 2016 the European market abuse regime was changed as a result of the EU Market Abuse Regulation (MAR).
07/22/2016
The FCA considered the promotion undertaken by dark pool operators, the quality of the identification, management and disclosure of conflicts of interest and also reviewed relevant governance, oversight and controls.
07/22/2016
The new legislation and associated guidance will come into effect on 1st August 2016.
07/22/2016
The firm has had some key client wins in the past 12 months
07/21/2016
The FCA issued a call for input in November 2015 about the development and adoption of regtech; and more than 350 responses were received.
07/21/2016
Financial watchdog not properly dealing with legitimate complaints about its workings, report says
07/21/2016
He said bondholders, whether private or institutional investors, should not be forced into a bail-in that could lead to big losses because it would create even greater pain.
07/21/2016
ESMA has now published its advice for all 12 jurisdictions against the regulatory frameworks in place and their track record for ensuring effective enforcement.
07/21/2016
This would allow these third countries to manage and market their funds to investors based in the EU.