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Legal, Regulation & Compliance

10/02/2023

Finance Committee Republicans press IRS chief counsel nominee on Pillar Two, Inflation Reduction Act guidance

William Paul, the current principal deputy chief counsel, has been serving as acting chief counsel in the interim.

10/02/2023

FCA confirms leasehold buildings insurance reforms

Insurers will also be required to ensure that their insurance policies provide fair value to leaseholders and provide important information about their policy and its pricing

10/02/2023

Dutch government mandates accounting for employee mobility

This includes employee distance travelled by means of transport and fuel type.

10/02/2023

NatWest employee jailed over £1mn theft from customers

A number of the accounts were held by people who lived outside the jurisdiction, the majority of which had significant balances in them.

10/02/2023

Watchdog installs monitor at Deutsche Bank after surge in Postbank complaints

The issue is a setback for Deutsche Bank's effort to restore credibility after fines for lapses in money laundering controls, raids by authorities and other penalties.

09/29/2023

FCA takes action against Darren Reynolds and Andrew Deeney of Active Wealth for dishonest pension transfer advice

These payments were funnelled via companies connected to Mr Reynolds and were intentionally designed to disguise their true origins.

09/29/2023

Quilter Cheviot Jersey to establish new financial planning capabilities

His appointment will be followed by a number of financial planner hires as the Jersey office grows its client-facing team on the island.

09/29/2023

Esma work programme to focus on digital change and the green transition

2024 will be an important year for the European Union as a whole, with a new Parliament and Commission following the elections next June.

09/29/2023

FCA to send another financial resilience survey

They will receive an automated reminder via RegData when the return is available for submission.

09/28/2023

FCA set to launch private markets review

The regulator is preparing to look into valuations in private markets.

09/28/2023

Swiss banking stands before the courts of morality

Of course, it can be argued that these specific incidents happened many years ago - and the world has changed in the meantime.

09/28/2023

Addleshaw Goddard: Financial Services & Banking News

The consultation sets out the PRA's proposed clarifications and amendments when capitalising foreign exchange exposures under the market risk capital framework.

09/27/2023

The EBA second mandatory exercise on Basel III full implementation shows a significantly reduced impact on EU banks with shortfalls nearly fully absorbed

The overall impact includes the economic impact of the Covid-19 pandemic that had materialised up until December 2022, the reference date of this Report.

09/27/2023

UK Regulators Come Together to Warn Against Using Harmful Online Design

Both regulators stressed their commitment to take formal enforcement action where necessary to protect consumers.

09/26/2023

The FCA and PRA propose measures to boost diversity and inclusion in financial services  

The proposals include new rules and guidance to make clear that misconduct such as bullying and sexual harassment poses a risk to healthy firm culture.

09/26/2023

ECB needs to be cautious about doing too much on rates - Villeroy

The ECB raised its main interest rate to a record high 4% this month after 10 successive hikes, but signalled a pause in October.

09/26/2023

FCA: financial knowledge must improve for markets to thrive

The authority outlined that, for them, “confidence is key” as “markets work well if there is investor and consumer confidence”.

09/26/2023

FCA: Changes to listing rules will make UK 'market of choice'

Under planned changes the FCA would replace its existing ‘standard' and ‘premium' listing segments with a single category for equity shares in commercial companies.

09/25/2023

EBA launches 2023 EU-wide transparency exercise

The EBA expects to publish the results at the beginning of December, together with the annual Risk Assessment Report.

09/25/2023

Advice/Guidance review may lead to simpler advice services as part of a wholesale review, says FCA

All of which would help them make better informed financial decisions.

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Finance Committee Republicans press IRS chief counsel nominee on Pillar Two, Inflation Reduction Act guidance

10-02-2023

TrueLayer calls on the EU to improve payments with open banking

09-27-2023

The FCA and PRA propose measures to boost diversity and inclusion in financial services  

09-26-2023

Vega exits stealth with over $8 million in funding to reshape wealth management

09-27-2023

The Verve Group launches single dashboard adviser software

09-27-2023

UK-based model portfolio service provider raises £10m

09-26-2023

New Best Funds List revealed: Bestinvest names the funds favoured by its investment research teams

09-27-2023

Swiss banking stands before the courts of morality

09-28-2023

C. Hoare & Co. increases its North West footprint with new hire

10-03-2023

HSBC Global Private Banking Announces Leadership Transition for Middle East & North Africa and Strengthens Teams in Qatar, Israel, Switzerland

10-03-2023

Personal finance tax incentives to hit £35bn this year

10-03-2023

Longevity Partners strengthens senior management team with trio of hires

10-03-2023

Lakefield Partners Welcomes Prominent Member to Advisory Board

10-03-2023

Lloyds Banking Group enters digital ID space with Yoti partnership

10-03-2023

Christel Rendu de Lint and Georg Schubiger to succeed Zeno Staub as Co-CEOs of Vontobel

10-03-2023

Hurst Point Group acquires Helm Godfrey

10-03-2023

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