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Legal, Regulation & Compliance

02/07/2014

Goldman’s Dibelius, Bafin’s Menke to Testify at Oppenheim Trial

The head of Goldman Sachs Group Inc.’s operations in Germany and the country’s second-highest ranking bank regulator will testify at the trial of former managers of Sal. Oppenheim Jr. & Cie this month.

02/06/2014

Bankers face 4 year minimum jail time in EU crackdown

Financial market abusers could face a minimum of four years in jail under new plans voted through the European Parliament on Tuesday amid a string of financial scandals.

02/06/2014

Brazilian 'Mensalao' banker Pizzolato arrested in Italy

The former director of Brazil's state-owned bank, who was sentenced in Brazil for corruption and money-laundering, has been arrested in Italy.

02/06/2014

Former head of SFO accused of running chaotic agency

Richard Alderman, the former head of Britain's leading fraud prosecution authority, oversaw a chaotic agency that was unable to keep records and documents in order

02/05/2014

LinkedIn fraudsters claiming to be from Aberdeen Asset Management

Aberdeen Asset Management is warning people to look out for emails from fraudsters purporting to be from the company

02/05/2014

UK law firm strengthens Private Client Team

He trained with Blake Lapthorn in Oxford

02/05/2014

Financial promotion: An indication of FCA’s new approach to intervention - Withers

Publication of the FCA's concerns about the MSM advertisements follows the announcement made by the FCA in November 2013, of its thematic review of insurance price comparison websites and also gives an indication of the FCA’s new approach to in

02/05/2014

FCA guidance on inducements for product providers and advisory firms - FCA

The guidance is relevant to all providers of retail investment products to be sold by advisers, as well as advisory firms providing personal recommendations for such products and payments made by providers to unregulated third party firms that are for the

02/04/2014

Norton Rose Fulbright launches global regulation and investigations practice

We identified global regulation and investigations as an area that is one of the greatest for clients in terms of concern, focus and spend

02/04/2014

SocGen the next target for Libyan Investment Authority

In its legal claim the LIA alleged that Goldman funded luxury trips to Morocco

02/04/2014

Brokers confused by trade body launch

Industry welcomes launch of Insurance Brokers’ Standards Council but rues lack of clarity over its role

02/04/2014

Banks to Corporates Prepare for Big Bang of EU Swaps Rules

Companies from banks and technology firms to energy suppliers are set to face European Union swaps rules

02/04/2014

Senior Management Increasing Efforts Globally To Combat Money Laundering

Attention being paid by senior management to money laundering challenges is at an all time high according to findings from a new KPMG International report.

02/03/2014

Eversheds produces multi-jurisdictional guide to Consumer Rights Directive

Eversheds has produced a guide to the CRD that looks at how the CRD will change the laws of 15 EU countries. Click here to access a copy of the guide.

02/03/2014

Paris office of global law firm announces sponsorship of innovative mentoring programme in France

The unique and innovative initiative is dedicated to women between the ages of 25-39 years old within the immigrant population, who statistically face more difficulties in progressing in their desired career paths.

02/03/2014

Guy Norman makes opening bid to lead Clifford Chance corporate group

There isn’t a slam dunk candidate but the key name is Guy

02/03/2014

Withy King boosts private client and charities team

A solicitor with over 25 years’ experience in private client and charity law work, has joined our Private Client team as a consultant.

02/03/2014

Recent Developments in Implementing the Alternate Investment Fund Manager’s Directive

Rather than directly regulating funds, however, the AIFMD regulates managers

02/03/2014

ECB set to reveal further detail of bank health checks

The European Central Bank will reveal more detail on Monday on how it plans to go about checking that top euro zone banks have the risks on their balance sheets under control.

02/03/2014

Bank watchdog under pressure over bonuses for front-line staff

The Financial Conduct Authority is under pressure from MPs to extend bankers’ bonus regulations to front-line staff in the wake of the record fine imposed on Lloyds for mis-selling ISAs and income protection insurance.

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