05/07/2021
The Solo trading was characterised by what appeared to be a circular pattern of extremely high value trades undertaken to avoid the normal need for payments and delivery of securities in the settlement process.
05/07/2021
The Regulatory Initiatives Grid sets out the regulatory pipeline.
05/07/2021
The FCA argued in the paper that some investors prefer investing in open-ended funds where there are opportunities to put money in or take it out at the net asset value of the assets.
05/07/2021
The FCA is now consulting separately on the LTAF and says it will not confirm specific property fund rules until that consultation has been completed.
05/07/2021
The FCA is keen to hear views from stakeholders on its proposals and the consultation is open for feedback until 25 June 2021.
05/07/2021
In August 2020 the FCA consulted on proposals to reduce the potential for harm to investors from the liquidity mismatch in open-ended property funds.
05/07/2021
The FCA said Sapien did not have 'adequate systems and controls'
05/06/2021
Some 3,900 firms are listed as being based at number 207 Regent Street
05/06/2021
DNB acknowledged that there were shortcomings relating to customer due diligence in the Samherji case but said it has done a great deal of work on reviewing the customer portfolio since then.
05/06/2021
What should investors consider when making Hedge Fund investments?
05/06/2021
The Chair of the FCA and PSR, Charles Randell, has delivered a speech to the Building Societies Association on outcomes-focussed regulation.
05/05/2021
The rules in MAR on insider lists are also being amended from 29 June 2021
05/05/2021
The Clifford Chance Corporate team was led by senior partner Christian Kremer
05/05/2021
The fact that the limitation period on the underlying matter of complaint has expired is a material, and often a very material, factor.
05/05/2021
In each case Somal said the FCA should issue an apology “at the highest level” for the inadequacies identified in the FSA’s supervision of Keydata.
05/05/2021
The firm is ranked as Highly Regarded for Corporate/M&A by Chambers USA
05/05/2021
Other jurisdictions, notably the US, have recently seen evolution and significant growth in this sector, with larger-scale SPACs
05/05/2021
The annual awards, now in their 13th year, highlight Europe‘s best commercial and investment banks, brokers and asset managers, as well as their advisors.
05/05/2021
The PRA has published a speech on mutual interests, delivered by its CEO, Sam Woods
05/04/2021
Agreement completed just months before the UK supply-chain finance group collapsed