10/05/2018
He is a Swedish aristocrat, MD in wealth management and presumably a notorious fraudster
In Switzerland, he is not an unknown entity either: the Swede has aristocratic roots, his father was a well-known diplomat, and clients he allegedly defrauded have turned to Swiss regulator Finma.
10/05/2018
Both our jurisdictions are leaders in funds management and other financial services. ASIC is very interested in learning from the fintech and regtech innovations that are taking place in the Grand Duchy.
10/05/2018
The purpose of this Q&A document is to promote common supervisory approaches and practices in the application of the AIFMD and its implementing measures.
10/05/2018
He is said to have moved the cash into overseas bank accounts and then back into the UK
10/05/2018
ESMA will continue to develop these Q&As in the coming months and will review and update them where required.
10/05/2018
The misrepresentation finding was not challenged on appeal.
10/05/2018
Compliance officer said large parts of her job were given away while on maternity leave
10/04/2018
Failure by ‘Mrs A’ to explain source of wealth could result in civil proceedings to seize it
10/04/2018
WFE Annual Meeting 2018 - Hotel Grande Bretagne, Athens, Greece
10/04/2018
Following the entry into force of MiFID II on 3 January 2018, ESMA has reviewed the guidelines in order to establish whether, in the context of the new legislative framework, they need to be amended or repealed.
10/04/2018
UK’s National Crime Agency investigating properties worth £22m in south-east England
10/04/2018
The businessman sought all documents related to the value of the works bought or sold in a transaction involving Sotheby’s and Bouvier
10/04/2018
Over the past ten years, regulators across the US, Europe, APAC and the Middle East have levied nearly $26 billion dollars in financial penalties against financial institutions for AML/KYC and sanctions-related violations.
10/04/2018
Data have been provided for a total of 206 banks, including 111 large internationally active banks.
10/03/2018
Losses at Arden Partners doubled in the six months to May to £2.3 million, with WH Ireland also reporting a second year of losses in July.
10/02/2018
Support roles in the City are under threat again as Baker McKenzie has launched a review of its entire London professional and business services (PBS) staff, estimated to include around 350 people. Kicking off at the end of this month as part of the firm
10/02/2018
The Maples group is now able to provide a comprehensive range of legal, fiduciary and administration services from Luxembourg, which is complemented by the group's offering from its locations within other key international financial centres.
10/02/2018
The letter is a follow-up to an earlier letter concerning some MIFID II/MIFIR requirements regarding trading venues.
10/02/2018
The problem is the costs for our clients is our income so that's a difficult decision but there is a lot of pressure on margins because clients know what they are paying and it is becoming transparent.
10/01/2018
He got a trial and it’s very clear from the trial that he defrauded the bank on purpose and with intelligence.