08/23/2018
FCA wins case over register 'inaccuracy'
The original complaint related to an adviser and his wife who were directors of one firm which was an appointed representative of an another until 2004.
Legal, Regulation & Compliance
08/23/2018
Fintech Without Borders: Regulators Consult on Global Financial Innovation Network
The Consultation builds on the FCA’s proposal earlier this year to create a “global sandbox” for innovative financial services firms.
08/23/2018
Ignition Select declared in default by FSCS
At the time it appointed Begbies Trainor as administrator.
08/23/2018
Corporate compliance in Ireland is easy – but not complexity free
While Ireland is leading the way for ease of corporate compliance, the country is not complexity-free.
08/23/2018
Fieldfisher has expanded its Chinese operations
The new partners include Zhongran Lian who specializes in commercial arbitration and litigation with over 30 years of experience advising both state owned and private companies.
08/22/2018
Legal tech project recruits big City firms
Among other participants are nine small and medium-sized local law firms, two corporate counsel and nine legal tech companies.
08/22/2018
Allianz Life announces partnership with Envestnet
We have consistently heard from advisers that they want to offer more holistic solutions to help their clients achieve their financial goals."
08/22/2018
Navigating conflicts between Mifid II and GDPR
GDPR somewhat contradicts Mifid II when it comes to personal data, according to Teleware chief executive Steve Haworth
08/22/2018
FCA CP on CMCs: Recovering the costs of regulation and the FOS
This paper sets out our proposals for recovering the costs of regulating claims management companies when applications open for temporary permissions on 1 January 2019.
08/22/2018
Fraud and scams: a moving picture
This makes it harder for us to reach an answer both sides are happy with.
08/22/2018
Is naming and shaming tax defaulters an effective tax evasion deterrent? Sarah Saunders and Mike Down
Despite concerns from some Conservative MPs, Chancellor of the Exchequer Philip Hammond seems to be ruling out reforms to business rates although arguably these could have a greater influence on high streets up and down the country than the ‘Amazon
08/22/2018
Business connected to chartered firm declared in default
The two firms also share a number of members of staff, some of whom are still involved with Greystone Financial Services, according to the Financial Conduct Authority's register.
08/22/2018
Former UBS rogue trader avoids immediate deportation
Adeboli is currently involved in lecturing and mentoring projects
08/22/2018
GDPR – 28% of organisations still not prepared
“The deadline has now come and gone, yet the study shows that many organizations aren’t sure they have achieved GDPR compliance,” said Terry Ray, CTO of Imperva.
08/21/2018
Former UBS trader calls for police investigation into alleged assault
‘I want some form of justice — he wronged me’
08/21/2018
Regulatory cooperation needed post-Brexit to combat EU-based scammers, says PMI
PLSA policy lead for engagement, EU and regulation James Walsh said a "more ambitious approach" was needed to "fully protect savers".
08/21/2018
ECB hits Crédit Agricole with nearly €5m in fines
Crédit Agricole said it had “taken due note of the grievances it had been notified of” and that it “reserved the right to challenge these sanctions.
08/21/2018
Appleby's head of Private Clients & Trusts nominated for ‘Trusted Advisor of the Year’
There are only five individuals nominated for this prestigious award.
08/21/2018
FOS: Complaints data update
The feedback statement included commitments to work with stakeholders to explore a new measure of cases received per 100 FCA-reportable complaints, and to report some resolved PPI complaints by volume only for a limited period.
08/21/2018
AFME/Euro IRP: Guidelines on UK IPO process
This document sets out how unconnected analysts can participate in the IPO process and how issuers and Firms can implement either option above.