12/12/2021
The PRA and FCA expect firms to carry out systemic reviews of their equity finance businesses and the risk management practices and controls deployed in those businesses benchmarked against the finding set out in the annex.
12/12/2021
To that end, the EBA conducted a survey amongst a sample of 70 financial institutions from 12 Member States.
12/12/2021
Our observations include weaknesses in the holistic management of risk across business units
12/12/2021
The new requirements (and everything in this article) only apply to statutory transfers.
12/10/2021
The Carey Olsen team advising CIHL on all Bermuda related legal and regulatory aspects associated with the transaction comprised corporate partner Steven Rees Davies and associate Keivon Simons.
12/10/2021
The FCA will oversee the implementation of the recommendations and will publish a final update in its 2022 annual report.
12/10/2021
Judge Stephen Knight on Thursday refused to order the bank to reinstate Jones into the same role he’d been dismissed from in London
12/10/2021
New use of US dollar LIBOR is also to cease, a key landmark on the end to the US dollar panel just 18 months later.
12/10/2021
The company brought an administrative appeal against the order.
12/09/2021
This list is accompanied by a CET1 Report, which includes information on the underlying objectives of the monitoring as well as on the consequences of including or excluding instruments in or from the CET1 list.
12/09/2021
Compensation pay-outs for former Continental Wealth clients upheld
12/09/2021
The purpose of the Letter is to provide feedback to industry on the findings of the review and to outline the CBI’s expectations in relation to the application of the MiFID II suitability requirements.
12/09/2021
The potentially more harmful side effect may be if UBS is convicted of money laundering
12/09/2021
The Commission is also planning a Data Act which will fulfil a similar function to foster public/private sector data sharing.
12/09/2021
This money represents over 10 percent of global GDP.
12/09/2021
Admits LCF a 'learning process'
12/09/2021
He was accused of 15 offences between 2011 and 2013 and made no reply when charged.
12/08/2021
Bristol Trading Limited is not authorised to provide any Virtual Financial Asset or other Services under Maltese law.
12/08/2021
The changes implement certain proposals on which the FCA consulted in its July 2021 Primary Markets Effectiveness Review (the Review).
12/08/2021
These aim to help increase trust and transparency in the rapidly expanding ESG market.