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Legal, Regulation & Compliance

11/02/2013

U.K. Business Lawsuits Rise as Lehman-Claims Expiry Date Looms

U.K. business lawsuits increased 23 percent in the last year as lawyers try to beat a 2014 deadline to bring claims related to the financial crisis.

10/30/2013

Citi, JPM Put Traders On Leave Amid Probe: Report

Amid a probe over possible manipulation of the foreign-exchange markets, both Citigroup Inc. and J.P. Morgan Chase & Co. have placed their top London-based currency dealers on leave

10/30/2013

FCA Finds Weak Corruption Defences at Platforms and Fund Managers

Some asset management and platform firms are displaying "common weaknesses" in their defences against money laundering, bribery and corruption, the Financial Conduct Authority has said.

10/30/2013

RBS traders suspended in forex probe

Regulators in the UK, US and Switzerland are looking into whether banks colluded to set exchange rates.

10/30/2013

Bank Of France's Noyer Seeks Revision Of EU FTT

Bank of France Governor Christian Noyer has warned that the planned eurozone financial transactions tax must be completely revised

10/29/2013

FCA to Overhaul Fund Charges After Finding ‘Inherent Flaws’

The Financial Conduct Authority plans to tighten up how asset managers pass on the costs of running funds to the underlying investor

10/29/2013

Barclays Faces Investigation Into Currency Trading Manipulation

Barclays has become the latest bank to admit it is facing an investigation into whether its staff were involved in attempts to manipulate global foreign exchange markets.

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,

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