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Legal, Regulation & Compliance

02/13/2017

The Battle for Global Banking Regulations

If they don't come to an agreement, the global banking system risks a collapse.

02/13/2017

Legal Giant Accused of ‘Systematic & Gross’ Overcharging

He also advises on risk management, internal controls and accountability and other compliance issues.

02/13/2017

Hedge funds face an identity crisis

The industry must come to terms with higher regulatory costs and falling fees in a time of poor performance

02/13/2017

Fat cat Irish bankers earned a total of €50million in pay and bonuses in one year

European figures show 26 Irish bankers earned an average of €1.9million each in 2015

02/13/2017

UK lawmakers urge more reporting rules for large private firms

Citing the collapse of the department-store chain BHS Group Ltd

02/13/2017

Observers wary of FCA illiquid fund rethink

Some emphasised the principal issue remained the disconnect between illiquid assets and open-ended funds offering daily dealing.

02/13/2017

Cayman Finance New York Briefing Reaffirms Cayman As Industry Leader

The jurisdiction's appropriate legislative and regulatory balance.

02/13/2017

Pioneer launches multi asset strategy for fund of funds duo

The Luxembourg-domiciled fund also has the remit to invest across the entire capital market spectrum

02/13/2017

Supreme Court victory for cohabiting partners of unmarried scheme members

It remains to be seen whether the decision affects private sector occupational pension schemes with similar rules.

02/13/2017

Clarke Wilmott lawyer named in Spear’s 500 guide

Spear’s is regarded as the top guide to the sharpest and most experienced advisers, wealth managers and lawyers around today.

02/12/2017

Financial Conduct Authority looking into property fund suspensions

This was headline news when many funds were forced to suspend trading because of liquidity issues as investors ran for the hills.

02/12/2017

FCA opens discussion on regulatory approach to open-ended funds investing in illiquid assets

The FCA sets out some examples of possible policy approaches to stimulate debate.

02/10/2017

Brexit white paper published – where now for Financial Services?

While certainty and clarity are still some distance away, this article examines the implications of the speech and the paper for the financial services industry as Britain navigates its departure from the EU.

02/10/2017

Looming Regulations Will Drive Regtech Adoption in 2017

With an increase in regulation requiring automated processes and accurate data, adoption of so-called regtech tools is likely to snowball.

02/10/2017

Hargreaves Lansdown breaches company law on dividend payments

The company also stressed that the issue ‘will have not have any effect on the company’s financial position’.

02/10/2017

PRA imposes £17.85m fine on The Bank of Tokyo-Mitsubishi UFJ Limited and £8.925m fine on MUFG Securities EMEA plc for failing to be open with the PRA

The DFS enforcement action also had implications for the then Chair of MUS(EMEA).

02/10/2017

How the Flash Crash Trader’s $50 Million Fortune Vanished

The extent of Sarao’s culpability for the flash crash is fiercely contested.

02/10/2017

Steven Maijoor's address to a Alde seminar on the review of the European supervisory authorities

ESMA needs to have the power to impose higher fines on supervised entities.

02/10/2017

DWF seals association with Saudi law firm

The Kingdom of Saudi Arabia is a hugely important jurisdiction for DWF as we grow in the Middle East.

02/10/2017

German, Swedish Banks Back Tougher Beneficial Owner Rules

Tougher beneficial ownership rules that make it easier to identify the true owners of companies would be helpful.

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