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Legal, Regulation & Compliance

07/31/2023

FCA sets out 14-point action plan on cash savings

There has also been significant variance between firms, with smaller firms offering higher interest rates on average than their larger competitors.

07/31/2023

Addleshaw Goddard: Financial Services & Banking News

The next FCA board meeting is scheduled for 28 September 2023.

07/31/2023

The end of the road for retained EU law

The law will nevertheless make significant changes to the relationship between UK law and retained EU law

07/31/2023

A shake-up for alternative dispute resolution in employment tribunals

This appointment would be held on a confidential, without prejudice basis and the judge conducting it would have no further involvement in the case if it did not settle after the appointment.

07/28/2023

Regulators finalise clearer, more transparent Complaints Scheme

The regulators carefully considered the responses received to their consultation.

07/28/2023

Regulators ditch £10k compensation cap for any failures

Complaints made prior to this date will be considered under the existing scheme.

07/28/2023

Addleshaw Goddard: Financial Services & Banking News

The FCA states it intends to make changes to other application forms once the work on Form A is complete

07/28/2023

Home REIT proposes investment policy overhaul as rent collection falls to 7%

General meeting set for 21 August 2023

07/28/2023

FCA gives update on BSPS redress scheme

When it is complete, the adviser will write to the individual if the advice was suitable or not.

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.

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