12/09/2022
It is of fundamental importance to the integrity of the market that brokers such as BGC/GFI have effective market abuse surveillance systems in place.
12/09/2022
The firm also failed to properly monitor the money customers had told them would be going through their accounts compared with what actually was being deposited.
12/09/2022
Edinburgh reforms
12/09/2022
The bill must still be approved by the upper house of parliament
12/09/2022
Britain is easing banking rules brought in after the 2008 global financial crisis in a bid to attract investment and secure London’s status as Europe’s leading finance center
12/09/2022
The amendment of the REIT rules will simplify transactions by opening some of the loopholes already in use across the industry rather than trying to close them.
12/08/2022
But the DNB concluded last year that Rabobank was still falling short and slapped it with the fine and the recommendation.
12/08/2022
The Employment Relations (Flexible Working) Bill (5 pages / 101KB PDF), proposed by Yasmin Qureshi MP, will require employers to consult with an employee before rejecting a flexible working request
12/08/2022
The firm is recognised for its commitment to advancing social mobility in both community and workplace
12/08/2022
A default usually means the firms have gone out of business and are unable to meet any claim themselves.
12/08/2022
Much has been written about the Consumer Duty, but an important aspect to hone in on is the role data and analytics can play in the successful implementation of the duty.
12/08/2022
The proposals have been made following the regulatory body’s recent Financial Lives survey, which found around 4.2 million people in the UK hold more than £10,000 in investable assets mostly or entirely cash and are open to investing some of i
12/08/2022
The depth of the knowledge, expertise and experience of service providers here is world renowned.
12/08/2022
The acquisition will enable Mourant to provide clients with legal, corporate and entity management services from Luxembourg, one of the world's leading international finance centres and the second largest global funds centre.
12/08/2022
The acquisition does not involve any other part of the Laven Group.
12/07/2022
Under current legislation, any FCA authorised firm is allowed to approve financial promotions on behalf of other firms who are not authorised by the regulator.
12/07/2022
The ECTEA received Royal Assent in March 2022 and is part of the UK Government’s strategy to combat crime and make the ownership of assets more transparent.
12/07/2022
It said some of their traders communicated mainly through emails and online chatrooms.
12/07/2022
The FCA considers that the individuals repeated this pattern of deliberate and intentional market manipulation on a number of occasions and were dishonest.
12/07/2022
Prosecutors have told the district court in Bonn that Berger was a key figure in the complex scheme, initiating “cum-ex” deals and teaching others how to game the system.