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Legal, Regulation & Compliance

10/21/2022

Link Fund Solutions up for sale amid FCA fine over Woodford

The news comes a month after a potential takeover of Link Group, including Link Fund Solutions, collapsed.

10/20/2022

Governance of “Decentralised” Finance: Get up, Stand up! − speech by Carolyn Wilkins

Given at UCL Centre for Blockchain Technologies

10/20/2022

Deloitte set to purchase investment management firm Reformis

Reformis is a specialist in providing and implementing data and technology solutions to the investment and wealth management market.

10/20/2022

FRC report puts increased focus on ethnic diversity and ESG in UK boardrooms

As a result, the actions and initiatives of companies and senior management teams are being reviewed with greater scrutiny.

10/20/2022

PRA fines MS Amlin Underwriting Limited £9,695,000 for failings in its governance, controls and risk management

Final notice from the Prudential Regulation Authority

10/20/2022

Jupiter slashes dividend on further outflow pain

The fund firm is slashing shareholder payouts after suffering another £600m outflow in the third quarter.

10/20/2022

Farrer & Co secures top rankings in Chambers UK 2023

12 of these individuals have been ranked in Band 1

10/19/2022

Pension trustees posing as advisers to pay £880k redress bill

They also promised a fixed return of 3.5 per cent per annum.

10/19/2022

PRA statement on credit risk mitigation eligibility, risk-based capital treatment, and leverage ratio treatment of guarantees under the Energy Markets Financing Scheme

HM Treasury and the Bank of England have launched the Energy Markets Financing Scheme (EMFS) to address the extraordinary liquidity requirements faced by energy companies operating in UK wholesale physical gas and/or electricity markets.

10/19/2022

Bunq wins AML case against Dutch Central Bank

The court has subsequently sided with Bunq.

10/19/2022

TISE grants employees special cost of living payment

The contribution was paid to employees across all of TISE’s operating jurisdictions, along with their October salary payments.

10/19/2022

Tax investigators gain access to Deutsche Bank

As has been the case since the investigation began, the bank continues to cooperate fully with the investigating authority.

10/19/2022

Signing of MoU with the Sustainable Finances Roundtable

The British Embassy in Asuncion and the Sustainable Finances Roundtable (MSF) signed an agreement that backs sustainable development.

10/19/2022

EQT publishes prospectus for admission to trading of shares on Nasdaq Stockholm

A prospectus regarding admission to trading of the newly issued shares on Nasdaq Stockholm has been approved

10/18/2022

EU Sanctions Hit HSBC’s Russian Customers in Hong Kong

An exception applies for those who also hold residency rights or are a nationals of a European Union member state.

10/18/2022

Addleshaw Goddard Financial Services & Banking News

The PRA focuses on challenges arising from the cost of living crisis.

10/18/2022

FCA to consult on advice regime for stocks and shares Isas

“Savers and investors are clearly crying out for help,” he said.

10/18/2022

ACER and ESMA enhance cooperation to strengthen oversight of energy and energy derivative markets

The two EU agencies have a long-established cooperative relationship considering the interlinkages between spot and derivative energy markets.

10/18/2022

FCA places restrictions on twice as many consumer investment firms this year

The FCA stopped 17 firms and seven individuals attempting to obtain a new FCA authorisation in the investment market where phoenixing or lifeboating was suspected.

10/17/2022

FCA fines Gatehouse Bank £1.5m for poor anti-money laundering checks

As a result, over a two-year period, Gatehouse accepted US$62,000,000 into the account without properly vetting the funds for financial crime risks.

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