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Legal, Regulation & Compliance

11/17/2013

69pc of Brokers Feel Prepared for MMR

Of the brokers polled at IRESS’ mortgage and protection roadshows in October

11/17/2013

Banks' Book-Keeping Leaves Investors in the Dark - Watchdog

Big variations in how major European Union banks do their accounts can leave investors guessing over their financial health and could also undermine financial stability

11/17/2013

Bernie Ecclestone revealed his 'influence' by calling bank chief Sir Fred Goodwin

A businessman said he mentioned the Royal Bank of Scotland as a possible lender during discussions with motorsport boss Mr Ecclestone eight years ago.

11/17/2013

EU Bank Resolution Rules Should Be Applied Equally - ECB's Mersch

Rules for resolving troubled banks shouldn't favor institutions in economically strong countries, European Central Bank Executive Board member Yves Mersch said Monday.

11/17/2013

ESMA - Financial institutions must improve financial statement disclosures

The European Securities and Markets Authority (ESMA) has published a Review of the comparability and quality of disclosures in 2012 IFRS financial statements of listed financial institutions.

11/17/2013

Wragges and Lawrence Graham Begin Merger Talks

Top-60 firms Wragge & Co and Lawrence Graham have confirmed they are in talks to form a £170m-plus practice.

11/16/2013

U.K. Bank Whistle-Blowers Increase as Regulator Scrutiny Grows

The number of whistle-blower calls to the U.K. Financial Conduct Authority increased 23 percent over the last year

11/14/2013

Sullivan & Worcester Widens its Finance Offering in London

He joins the firm from Squire Sanders

11/14/2013

Former JPMorgan 'Whale' supervisor opposes U.S. extradition

A former JPMorgan Chase executive accused of helping to hide trading losses in a $6.2 billion financial scandal at the bank rejected on Friday

11/13/2013

EDPS calls for 'special attention' for tax data exchange Directive

The proposed amendments would expand the scope of the AEOI and would require Member States to exchange data relating to dividends, capital gains, other financial income and account balances.

11/13/2013

FCA board member calls for 'holy trinity' overhaul of financial services

The investment industry is inefficient and in need of a radical overhaul if it wants to meet the needs of an under-served consumer base, Financial COnduct Authority board member Mick McAteer has warned.

11/13/2013

Kinetic Partners unveils AIFMD Hedge Fund Depositary Due Diligence Checklist

Hedge fund managers will need to undertake due-diligence over their depositary providers and this checklist has been designed to assist managers undertake the necessary depositary due diligence.

11/12/2013

Bank union to free 7 billion euros of capital for UniCredit from HVB: FT

UniCredit, Italy's biggest lender by assets, expects Europe's banking union to free up 7 billion euros ($9.4 billion) of capital from its German subsidiary HVB as capital requirements are equalized across the euro zone

11/12/2013

Baker & McKenzie Relocates Italian Partner to Dubai

Leading global law firm Baker & McKenzie is relocating corporate and transactional partner Pietro de Libero from the firm's Milan office to its Dubai office.

11/12/2013

Baker & McKenzie Recruits Senior Big Four Tax Professional in London

Baker & McKenzie's London office has hired EY partner Mark Bevington to boost its corporate tax practice.

11/12/2013

BLP takes former DLA leisure head to boost real estate

Berwin Leighton Paisner has recruited partner Karen Friebe from DLA Piper to join its London real estate practice.

11/11/2013

Exclusive: New UK financial regulators face surge in staff turnover

Britain broke its financial regulator up into two separate agencies in April to ensure stricter scrutiny of banks and markets in the wake of the 2007-09 financial crisis and a series of costly scandals involving bankers' misdeeds.

11/10/2013

Silence is an unreasonable refusal to engage in ADR - Withers

The Court of Appeal has decided that a failure to respond to a reasoned invitation to mediate an ongoing dispute is unreasonable, regardless of whether there were good reasons to refuse to mediate.

11/10/2013

Banks move early on bonus caps amid confusion

Banks have started the process of deciding how they will implement the EU-wide bank bonus cap

11/10/2013

One Size Regulation Does Not Fit all Boutique Asset Managers

When it comes to the effects of ‘one-size-fits-all’-regulation for boutique asset managers, off the peg doesn’t suit everyone.

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