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Legal, Regulation & Compliance

08/17/2014

Barclays faces fine over client asset segregation

It would be the second breach of so-called client asset segregation rules for Barclays in three years, having been fined 1.1 million pounds in 2011.

08/17/2014

US banks plan ahead for UK exit from EU

Executives at American banks in Europe are reluctant to speak publicly about the issue for fear of upsetting the UK regulators.

08/17/2014

Handwriting expert will prove my innocence, claims jailed former Leeds Utd boss

Haigh had his assets frozen by a high court judge in the UK

08/15/2014

Career Clinic: The unwritten rules of unwritten bonuses

It used to be said that “my word is my bond” was the mechanism by which the City of London operated.

08/14/2014

Mark McSherry: Asset managers rail against moves for closer scrutiny

Many of them were asleep at the wheel last time so they want to be wide awake to any potential problems when the next financial crisis starts to rear its ugly head.

08/14/2014

EU Clears Abanka Bailout, Merger with Banka Celje

The Finance Ministry said this would allow the government to complete the bank resolution measures started in December 2013

08/14/2014

UK government can sue French bank over 'mis-selling' to Northern Rock

Societe Generale allegedly mis-sold financial products to Northern Rock that were partly to blame for UK bank's collapse

08/14/2014

Barclays could face extra £1.2bn in legal costs and fines

British bank has already set aside more than £1.2bn to cover the cost of mis-selling payment protection insurance and other “legacy” matters

08/14/2014

Stone King doubles its Cambridge office in response to client demand

The appointments have been made as the firm’s reputation for providing tailored support in specialist areas of the law has expanded outside of its well-established portfolio of clients and across the region.

08/14/2014

FCA says firms must do more to ensure financial promotions do not mislead

The Financial Conduct Authority (FCA) has found that some promotions for financial products are still falling short of its rules and firms need to do more to ensure that advertisements do not mislead consumers.

08/14/2014

FSCS declares 28 advisory firms in default

London-based Morgans Independent Advisers was also previously put into liquidation in 2009

08/14/2014

IFRS ‘disconnected’ from true and fair, investors claim

The group, which has been urging the government to clarify the consistency between IFRS and company law since 2012, claimed that as long as IFRS does not require companies to disclose underlying capital reserves

08/14/2014

Pension schemes face levy to fund European regulator

Barnett Waddingham consulting actuary Rowan Harris said it was likely UK occupational schemes would face a levy

08/14/2014

Barclays turns to Sullivan & Cromwell as litigation bill set to rise by £1.2bn

New York Attorney General Eric Schneiderman brought the case against the bank in June, alleging that the bank’s private stock market purported to offer better protection to customers than it did.

08/13/2014

F1 Probe No Trigger to Punish $890 Billion Fund, Norway Says

Finance Minister Siv Jensen said yesterday in an interview at her office in Oslo. “Governing of the bank and of the fund has served us very well.”

08/13/2014

London-based wealth advice firm launches new Latin American venture

He has over 20 years’ experience in the high and ultra-high net worth advisory space.

08/13/2014

ESMA Publishes Guidelines on Reporting Obligations Under the AIFMD

The Guidelines clarify the specific information that AIFMs must report to applicable NCAs

08/12/2014

Cyprus: FBME Cards lays off staff

The company was formed in 2002 to compete in the Cyprus and European markets

08/12/2014

FCA has underestimated Sipp exits from cap ad, says Dentons

Dentons sales and marketing director David Fox said the regulator had underestimated the number of firms which would sell or close.

08/12/2014

German prosecutors seek charges against Deutsche Bank co-CEO in Kirch case-sources

The decision to pursue charges, while widely expected, is a serious blow to Fitschen and Germany's largest bank, which faces an array of legal problems, including investigations into possible manipulation of benchmark interest rates and foreign excha

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