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Legal, Regulation & Compliance

08/07/2015

Kids Company boss Camila Batmanghelidjh turned HQ into private 'Aladdin's den'

A former worker lifts the lid on a culture of waste and extravagance, including claims the charity's founder had five personal assistants at one stage

08/06/2015

HSBC sued for £15 million over racism allegation

His lawyers filed documets at a London employment tribunal on 4 August saying that Biber was treated with 'utter disrepect' by the bank where he had worked for 10 years.

08/06/2015

Serious Fraud Office launches investigation into Quindell

The insurance outsourcer revealed it paid founder Rob Terry £1.5m to leave the company following a share-dealing scandal

08/05/2015

FCA drops Libor case against ex-UBS trader

Koutsogiannis refused to give evidence during the trial

08/04/2015

Deutsche Bank Said to Be Probed by DOJ on Russia Mirror Trades

U.S. federal prosecutors are investigating billions of dollars of trades Deutsche Bank AG made on behalf of Russian clients as recently as this year, according to people with knowledge of the situation.

08/04/2015

HK regulator fines BNP Paribas $1.9 million for 'dark pool' trading

Hong Kong securities regulator said on Monday it fined French bank BNP Paribas HK$15 million ($1.93 million) for failures related to "dark pool" trading.

08/04/2015

So, this is what Tom Hayes’ former assistant at UBS is doing now

Where are they all now? A brief trawl of the internet suggests most have sunk into welcome oblivion.

08/04/2015

Ex-UBS, Citigroup trader jailed by London court for Libor rigging

In the first trial of a defendant accused of Libor rigging, Hayes had faced up to 10 years imprisonment for each count of conspiracy over the manipulation of London interbank offered rate Libor

08/04/2015

Deutsche Bank asked to pay former employee $3 mln in damages

The Financial Industry Regulatory Authority found Deutsche Bank liable to pay damages.

08/04/2015

Thomas Miller Investment Welcomes Review Into The Financial Advice Market

At Thomas Miller Investment we welcome that the government, through the FCA and the Treasury, is going to review the financial advice market.

08/04/2015

Crédit Agricole in ‘Advanced’ Talks on U.S. Sanctions Settlement

As a result, Crédit Agricole said that it was setting aside an additional provision of 350 million euros

08/04/2015

Collections departments must act now in advance of expected interest rate rise

Small window of opportunity for banks to prevent future defaults and millions in servicing debt collection, says Aspect Software

08/04/2015

Andy Warhol and Damien Hirst dealers investigated as buyers left with nothing

Police launch inquiry after couple sell gallery and move to France – as collectors and artists chase £500,000

08/04/2015

Wragges' investment funds team acts on half of IPO and secondary deals in 2015

Broker-Profile published details of the 20 IPOs/significant secondary issues, which raised £3.2bn in total, in its July newsletter.

08/04/2015

A Black Country law firm strengthens private client team

The law firm has strengthened its private client team with the appointment of five new members of staff.

08/03/2015

Greece Planned German Corruption Probes in ‘Grexit’ Scenario

Citing Greek government officials under condition of anonymity, Efimerida Ton Syntakton reported that the plan included opening corruption probes into prominent German companies

08/03/2015

European Union gets serious about data protection

Upcoming law tightens cyber breach enforcement

08/03/2015

‘Fortress Europe’ freezes Cayman Island hedge funds out

Hedge fund managers domiciled in the Cayman Islands, the US, Hong Kong and Singapore face uncertainty over whether they can sell their funds across Europe following a ruling by a European regulator.

08/03/2015

ESMA Recommends that the AIFMD Passport be Extended to Guernsey and Jersey

The European Securities and Markets Authority (ESMA) has recommended to the European Parliament, Council and Commission that the AIFMD passport be extended to Guernsey and Jersey.

08/03/2015

John Dalli’s fraudster associate Mary Swan likely to face Maltese justice

Mary Swan, a fraudster who accompanied former EU Commissioner John Dalli on a number of dubious trips to the Bahamas in 2012 to discuss “charitable” investment opportunities, is likely to face justice in Malta.

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