08/22/2022
Citigroup Global Markets’ flawed implementation resulted in significant gaps in its arrangements, systems, and procedures for additional trade surveillance.
08/22/2022
Unauthorised firms might be committing a criminal offence if they don’t have an FCA-authorised firm approve their financial promotions.
08/22/2022
Cryptocurrency fraud claims have increased in volume significantly over the last 12 to 18 months
08/22/2022
The Teesside Pension Fund (TPF) has agreed to invest up to £48 million to support the bank’s growth plans.
08/22/2022
The loan of €5 million is the first transaction in Poland under the Bank’s Digital Approach
08/22/2022
The High Court initially granted the confiscation order against Andrewes.
08/22/2022
These rules mandated that firms monitored all trading activity across a wide range of markets and instruments.
08/19/2022
It has around 4,000 staff overseeing firms from financial advisers and pension providers to asset managers and large high street banks.
08/19/2022
MIFID II changes will apply to investment managers operating on a cross-border basis, and European advisers, but not to UK advisers or asset managers.
08/19/2022
Chief risk and compliance officer (UK) Stephen Bell has been appointed as the country head for Northern Ireland.
08/19/2022
Husband and wife directors disqualified after taking customers’ payments while knowing the business was insolvent.
08/19/2022
The Commission has removed Achiezer from the register of charities, and removed two of the charity’s trustees.
08/19/2022
The MiFID II regulations that came into effect in Europe in January 2018 unbundled trading and research and pushed almost all European asset managers into paying for investment research in cash.
08/18/2022
Businesses should also consider who is responsible for AI governance and risk management strategy within their organisation and prepare to align their internal AI strategy with the proposed principles.
08/18/2022
The rising energy costs, ongoing supply chain disruption and labour shortages mean that many employers are simply not in a position to permanently raise wages enough to counter the impact of the cost of living crisis on their employees.
08/18/2022
The residual risk add-on (RRAO) is one of the elements that firms using the alternative standardised approach (ASA) to market risk, are required to calculate under the CRR.
08/18/2022
Negotiating with government, for example, to obtain visas, improve market access through trade agreements, or amend regulations is a cost for business and has unwelcome effects.
08/18/2022
The deadline for affected trustees to register their trusts on the TRS is 1 September 2022.
08/18/2022
It is the responsibility of the trustees to ensure the trust is registered online by the deadline
08/18/2022
The guide provides information on 34 jurisdictions