11/10/2013
IMA: EU Regulations Are Heading in Different Directions
Two pieces of European legislation relating to sales practices – specifically “inducements” for financial advisers and their disclosure – are heading in different directions.
Legal, Regulation & Compliance
11/09/2013
Appleby advises Standard Chartered on consolidation of Jersey banking entities
The transaction was ground-breaking in its use of the Banking Business (Jersey) Law 1991
11/07/2013
The annual bonus round by Withers
In anticipation of the new year’s annual bonus round, there has been a flurry of regulatory requirements that will have to be taken into account this time around:
11/07/2013
Ex-ICAP Brokers Said to Face U.K. Prosecutors in Libor Probe
Three former ICAP Plc brokers charged in the U.S. over their involvement in Libor-rigging will be interviewed by U.K. prosecutors within weeks
11/06/2013
SEC Charges Royal Bank of Scotland Subsidiary with Misleading Investors in Subprime RMBS Offering
The Securities and Exchange Commission today charged RBS Securities Inc
11/05/2013
Appointment Strengthens Geldards’ Private Client Team
I’m also excited about the opportunity to work closely with Geldards’ wide range of successful legal teams
11/05/2013
IMA and L&G clash over transaction costs
The Investment Management Association and Legal & General have clashed over whether transaction costs should be included in a proposed cap on auto-enrolment charges.
11/05/2013
Crédit Agricole: Will Fight Any Accusation of Euribor Wrongdoing
Chief Executive Said the Bank Would Fight Any Accusations Over Alleged Euribor Rigging
11/04/2013
Young Pilots Take ABN Amro to Court Over Traineeship Debts
A group of 60 young pilots are taking ABN Amro to court because they cannot pay off the loans they took out to complete their education
11/04/2013
What is the FCA getting right and wrong with crowdfunding?
The FCA recently released CP13/13 – it’s long awaited Consultation Paper on crowdfunding. This isn’t the only pertinent consultation process taking place at the moment. The regulator has also issued CP13/10 which outlines its proposed c
11/04/2013
DLA Beefs up Structured Finance Team with Hire of CC partner
DLA Piper has sealed the hire of Clifford Chance (CC) leveraged finance partner Tony Lopez for its structured finance team.
11/04/2013
EU to fine RBS, Deutsche, JP Morgan and three others in Euribor case
EU antitrust regulators are set to impose multi-million euro fines on Royal Bank of Scotland, Deutsche Bank, JPMorgan Chase, and three other banks for suspected rigging of the Euribor interest rate benchmark
11/04/2013
Wright Hassall builds up private client team
A Leamington law firm has added to its private client department, building on the legal services offered to individuals, families, business owners, farmers and charitable trusts.
11/03/2013
Private client’s edgy new look
OC gives private client practice a kick up the cut-glass as ‘traditional’ team hits the road
11/03/2013
Outsourcing in the asset management industry - FCA
We have published the findings from our review that assessed whether asset managers are effectively mitigating the risks relating to outsourcing.
11/03/2013
FCA Bans and Fines Adviser £10,000 Over Ucis Advice
Decision notice has been referred to the Upper Tribunal to determine the appropriate action for watchdog to take.
11/03/2013
Cayman Islands: Madoff Directors "Vindicated" By English High Court
It also confirms English cases on directors' duties will continue to be persuasive in the Cayman Islands
11/03/2013
Fund groups to avoid fines over 'cash for access'
Fund groups found to have used commissions to pay for access to corporate executives will not face financial penalties
11/03/2013
Ogier promoted to a top tier firm by a third legal directory
Chambers UK IFLR and The Legal 500 all undertake thorough research and analysis of local law firms and seek extensive client feedback to determine their results.
11/03/2013
Legacy SJ Berwin property star quits for Global law firm
He specialises in commercial real estate with particular emphasis on UK and European property funds, property finance, hotel transactions and development.