11/12/2017
FCA Warns Research Pay Rules Extend to Sales and Trading
Asset managers will have to pay financial institutions directly for research instead of combining the cost with trading commissions.
Legal, Regulation & Compliance
11/10/2017
Herbert Smith Freehills - Financial regulation update
ESMA: consultation on SI quote rules under MiFID II
11/10/2017
New guards of the City take aim at corporate delinquents
Stewardship, which for years languished in relative obscurity, is now in the spotlight
11/10/2017
FCA orders Capita to return £66m to investors in failed Ucis fund
The Fund was an unregulated collective investment scheme (UCIS) which commenced operation in March 2008
11/10/2017
International law firm to create 50 jobs in latest recruitment drive
The company now employs more than 500 staff at its base in the city.
11/09/2017
Barclays, ex-CEO seek to postpone trial in $1bn lawsuit
In front of a packed courtroom at the Commercial Court in London, they asked that the PCP trial be postponed until the conclusion of the criminal trial, which is scheduled for April 2019.
11/09/2017
Netherlands to investigate 4,000 corporate tax deals
Questions raised over procedures followed in agreement with Procter & Gamble
11/09/2017
Regulator to investigate Dekabank’s planned takeover of Gibson Hotel
German group recently emerged as likely buyer of former Harry Crosbie property
11/09/2017
Herbert Smith Freehills - Financial regulation update
FCA Wholesale Insurance Brokers Market Study
11/09/2017
Swiss Man Who Spied On German Tax Officials Avoids Jail Time
A Swiss Man Who Admitted To Spying On German Tax Officials Was Given A Suspended Sentence And Fined By A German Court
11/09/2017
O’Reilly told Bermuda trust not to contact beneficiary daughters
Businessman’s daughters were unaware of trust’s existence, documents indicate
11/09/2017
'You Can't Cap Fees': FCA's Asset Management Challenge
Asset Management Captured The Thinking Behind Much Of The Regulator’s Recent Work
11/09/2017
JOHCM under investigation by FCA over dealing commission
Follows thematic review
11/08/2017
Arrested Saudi Tycoon Faces Fraud Claim In English Courts
Arrested Saudi Tycoon Faces Fraud Claim In English Courts
11/08/2017
Tax evasion probe delays re-election vote on German savings bank president
Fahrenschon said in a statement that he paid his taxes late but denied breaking any law.
11/08/2017
Nucleus: FCA study risks letting asset managers off the hook
The platform also requested the inclusion of questions on how often holdings were being turned over.
11/08/2017
Ogier's Jersey team advises on $1.5 billion EN+ IPO
Ogier advised on all Jersey law and British Virgin Islands' law aspects of the IPO alongside lead counsel White & Case LLP.
11/07/2017
New European rules will shake up broker research
Mifid II will require fund managers to pay banks and brokers directly
11/07/2017
MiFID II: FCA guide on trading venue notifications and forms
Herbert Smith Freehills - Financial regulation e-bulletin
11/07/2017
Court of Appeal Upholds "No Look Through" Principle in Immobilised Securities Trading
The ruling also promotes certainty and consistency in the securities market.