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Legal, Regulation & Compliance

11/26/2013

Dentons Merger With McKenna Called Off

The vote on the tie-up was expected to take place by November 14 but hit delays, thought to stem from McKenna Long partners.

11/26/2013

Tribunal upholds £100k IFA fine over Gtep advice

The FCA has won a legal battle to fine Westwood Independent Financial Planners £100,000 over suitability failings in geared, traded endowment policy sales.

11/25/2013

FCA Slaps Outsourced Wealth Manager With £900k Fine

Wealth manager failed to adequately protect client money, according to notice published by the regulator.

11/25/2013

PwC Finds Fund Firm Compliance Heads Working 12-hour Shifts

A PwC survey has found a third of UK asset management firms are unsure they have the resources to cope with growing regulatory demands.

11/25/2013

UK's Serious Fraud Office may launch RBS criminal probe -report

Britain's Serious Fraud Office is considering the possibility of launching a criminal investigation into allegations that Royal Bank of Scotland mistreated struggling small businesses.

11/24/2013

Speechly Bircham opens its fourth European base in Paris

Litigation partner Frederic Jeannin also joined from STC Partners, while corporate partner Thibaut Caharel joined the team from Parisian firm PDGB Avocats.

11/24/2013

FCA proposes new rules on dealing commission for investment managers

The Financial Conduct Authority has today proposed improvements to the rules and new guidance over investment managers’ use of client commissions. These changes will ensure that charges paid by consumers for executing trades and related services &am

11/24/2013

Hungary Top Court to Probe Forex Loan Contracts' Validity

Hungary's supreme court said Monday that it is launching a probe into the validity of foreign-currency loan contracts

11/24/2013

Hungary fines 11 banks $43 million for collusion

Most of the exchange rate losses had to be swallowed by the banks.

11/24/2013

Top German banker urges ECB to finalise details on bank tests

The European Central Bank should quickly finalise details of forthcoming health checks on European banks because the sector faces a big challenge in completing the planned balance sheet exercises.

11/24/2013

Finance professionals say regulation not enough to stop a crisis

Only thirty-five out of the three hundred surveyed are said to be convinced that regulators have a grasp on how the crisis came about.

11/23/2013

Glasgow Based Investment Banker Convicted of Stealing More Than £400,000 From Clients' Accounts

George Kalmar will be sentenced on Tuesday after he was convicted at Glasgow Sheriff Court of pocketing the cash and spending it on women, gems and five-star benders.

11/21/2013

Barclays to launch summary judgment application in Dewey & LeBoeuf court battle

The bank has been pursuing the three former partners for repayment of loans it granted them for capital contributions ahead of the firm’s collapse in 2012

11/21/2013

Clifford Chance London head Bickerton runs unopposed in second term

The poll will close at the end of next week when Bickerton is expected to take up a second four-year term.

11/21/2013

Stephenson Harwood records 10 per cent revenue uptick at half-year point

We’ll focus primarily on growing our existing network, but we wouldn’t rule out opening any new offices in future.

11/21/2013

Osborne Clarke reveals 12 per cent turnover rise at half-year point

The first half of the financial year has been a period of investment for the firm.

11/21/2013

European Banks Legal Tab Tops $77 Billion as Probes Widen

The penalties come as regulators require firms to set aside more funds to strengthen finances and as executives look for ways to boost shareholder returns even amid lower revenue.

11/20/2013

FCA freezes assets of suspected boiler room

As well as the asset freeze (which prevents the firm from selling its assets) the court order also stops FCW from selling investments regulated by the FCA.

11/20/2013

Modelling integrity through culture by Martin Wheatley

Speech by Martin Wheatley, Chief Executive of the FCA, at the FCA Markets Conference 2013.

11/20/2013

City Regulator Takes Action Against Former Co-op Bank Directors

The Financial Conduct Authority has begun an investigation into the role of former senior directors at the Co-operative Bank.

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