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Legal, Regulation & Compliance

10/29/2013

Regulator threatens "revolutionary" approach to achieve asset management transparency

Wheatley will say that "this is a critical period for the industry" and that the FCA will now ask challenging questions.

10/29/2013

Fair, transparent and competitive: the FCA’s vision for the asset management sector

Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London.

10/29/2013

Shaping the future in asset management by Martin Wheatley, Chief Executive of the FCA

It is a pleasure to welcome you all here today to talk to you about UK asset management – about the leading international role of our sector.

10/28/2013

Swiss Exchange Probes Liechtenstein Bank’s Director Deals

The Zurich stock exchange’s regulatory unit said it’s investigating Liechtensteinische Landesbank AG for possibly breaching rules on the disclosure of management transactions.

10/28/2013

FSCS confirms new interim levy for investment advisers as claims soar

The Financial Services Compensation Scheme has confirmed that it will raise an interim levy on investment intermediaries before June 2014

10/28/2013

FCA Fines Rabobank £105m Over Libor Manipulation

The FCA has fined Dutch financial services firm Rabobank £105m for “serious, prolonged and widespread misconduct” relating to Libor manipulation.

10/27/2013

Former Bakers London managing partner wins executive committee role

The firm also shook up its eight-member London management committee earlier this year

10/27/2013

Fund managers face £3bn hit if sell-side research is banned

Asset managers are under pressure to provide greater transparency and accountability in terms of how they pay for the equity research they receive

10/27/2013

Revealed: Citigroup to Shake Up Panel With Reduced Roster

Citigroup will announce details of its eagerly-awaited revamped panel early next month

10/27/2013

PwC Survey Reveals 100% of UK Asset Managers Think There is a Compliance Staff Shortage

A new PwC poll of major UK asset management firms reveals that 100% believe there is a lack of appropriately qualified compliance staff in the market.

10/27/2013

Rabobank faces £600m fine as Libor scandal resurfaces

The bank is thought to be facing fines of more than £600m from regulators on both sides of the Atlantic, who are continuing their investigations into alleged manipulation of the key interest rate.

10/24/2013

SJ Berwin Revamps Real Estate Leadership in Preparation for KWM merger

SJ Berwin has broadened the managerial lineup for its real estate group, as part of the firm’s efforts to line up its practice management structure with King & Wood Mallesons

10/23/2013

FCA: Concerns remain over investment and protection sales incentives

The Financial Conduct Authority says it remains concerned about the use of incentives in investment and protection sales and that issues which can lead to misselling,

10/23/2013

Bond Dickinson boosts private wealth team

The new recruits will join our nationally recognised team of expert advisers who make up one of the UK’s largest Private Wealth practices.

10/23/2013

City regulator unveils plans to regulate crowdfunding

The Financial Conduct Authority has proposed new rules for regulating the crowdfunding and peer-to-peer lending industry.

10/23/2013

Platforms question FCA guidance paper on share conversions

The FCA yesterday issued a guidance paper indicating that it approved bulk coversion.

10/22/2013

FCA naming and shaming: is it right?

Firms under FCA investigation would not be named until it had decided to take action.

10/21/2013

Advisers eye execution-only offerings despite FCA scrutiny

Half of advisers have thought about launching an execution-only proposition following the introduction of the Retail Distribution Review

10/20/2013

Fugitive banker Raoul Weil arrested in Italian luxury hotel

He was arrested at the hotel and he is now being held in prison

10/20/2013

France probes foreign tyrants' wealth

France is delving into what it calls the "bien mal aquis"

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