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Legal, Regulation & Compliance

07/28/2023

UK and Singapore Enhance Cooperation in Sustainable Finance and FinTech

HM Treasury and Monetary Authority of Singapore joint statement on the eighth meeting of the UK-Singapore Financial Dialogue.

07/27/2023

Financial Lives survey highlights importance of the FCA’s Consumer Duty

The regulator’s findings come only days away from the introduction of the Consumer Duty.

07/27/2023

Italian Supreme Court Extends the Participation Exemption Regime to Non-resident Parent Companies

In such a case, the capital gain would be subject to a 1.2% effective tax (resulting from the application of the 24% CIT ordinary rate on a taxable income equal to 5% of the capital gain).

07/27/2023

UK government faces £150bn bill to cover Bank of England’s QE losses

Estimated cost to taxpayers has increased sharply as interest rates have risen

07/27/2023

BNP Paribas faces US fine over messaging violations

Earnings at eurozone’s biggest bank beat forecasts but hit by litigation and restructuring costs

07/26/2023

Archegos: FINMA concludes proceedings against Credit Suisse

In addition, FINMA has opened enforcement proceedings against a former Credit Suisse manager.

07/26/2023

UBS Not Out of the Woods in Forex Case

While the case was closed years ago at the regulatory level, the civil law resolution drags on.

07/26/2023

UK advertisers told to ensure green claims are ‘balanced’

The Advertising Standards Authority (ASA) is one of the regulators showing their willingness to take a firm approach to tackling misleading green claims.

07/26/2023

Existing data transfer mechanisms remain useful and can benefit from EU-US adequacy decision

TIAs will not need to be carried out by businesses that self-certify against the DPF’s privacy principles.

07/26/2023

European Commission adopts the Final Draft Regulatory Technical Standards relating to Risk Retention

This differs from the 2022 Draft RTS which required these conditions to be “taken into account”.

07/26/2023

Stephenson Harwood advises Kudu Investment Management on investment

The Stephenson Harwood team advised Kudu on both of these transactions.

07/26/2023

FCA shines spotlight on vulnerability ahead of Consumer Duty deadline

Financial services firms can play a key role in helping those with additional requirements manage their finances.

07/25/2023

Archegos Probe Reveals Full Extent of Credit Suisse Failure

The shortcomings are serious and Finma has ordered far-reaching measures applying to the bank and its legal successor, UBS.

07/25/2023

Number of people taking out mortgage terms of 35 years or more skyrockets by nearly 120%

There are now also nearly four times as many people taking out mortgages with terms that they will be still paying off in their 70s.

07/25/2023

The EBA publishes Report on interdependent assets and liabilities in the net stable funding ratio

The EBA has only limited recommendations for the Commission at this stage, which concern extendable maturity triggers for covered bonds and indirect derivatives client clearing activities.

07/25/2023

UBS to pay $388m fines for Credit Suisse’s Archegos failings

Credit Suisse has been jointly fined by the Federal Reserve and UK's Prudential Regulation Authority

07/25/2023

No funds from FCA fines passed on to charity

Since April 2012, the money collected from FCA fines has gone to the Treasury, which are then able to go towards charity donations.

07/25/2023

The PRA imposes record fine of £87m on Credit Suisse for serious risk management and governance failures in connection with Archegos Capital Management exposure

This is the PRA’s highest fine and the only time a PRA enforcement investigation has established breaches of four PRA Fundamental Rules.

07/25/2023

International expat advice group receives Cyprus licence

It is a ‘crucial step and milestone for the growth of our EU business’

07/25/2023

Addleshaw Goddard: Financial Services & Banking News

The information provided is aimed at supporting firms' planning and ongoing work in maintaining and enhancing resolvability.

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