10/30/2013
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
Regulators in the UK, US and Switzerland are looking into whether banks colluded to set exchange rates.
10/30/2013
Bank of France Governor Christian Noyer has warned that the planned eurozone financial transactions tax must be completely revised
10/29/2013
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 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
Wheatley will say that "this is a critical period for the industry" and that the FCA will now ask challenging questions.
10/29/2013
Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London.
10/29/2013
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
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
The Financial Services Compensation Scheme has confirmed that it will raise an interim levy on investment intermediaries before June 2014
10/28/2013
The FCA has fined Dutch financial services firm Rabobank £105m for “serious, prolonged and widespread misconduct” relating to Libor manipulation.
10/27/2013
The firm also shook up its eight-member London management committee earlier this year
10/27/2013
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
Citigroup will announce details of its eagerly-awaited revamped panel early next month
10/27/2013
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
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 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
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
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
The Financial Conduct Authority has proposed new rules for regulating the crowdfunding and peer-to-peer lending industry.