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Legal, Regulation & Compliance

01/20/2017

Wealth Manager Sanctioned For Breaking SIPP Promise

The FCA says the advice firm failed to declare all the transfer to SIPPs and recommended five other customers to transfer to two other AIPP providers in the same period.

01/20/2017

HSBC voluntarily agrees to provide approximately £4m redress for historical debt collection practices

As it did not reflect the actual and necessary costs of collecting the debt.

01/19/2017

EBA/ESMA report on the interaction of CRR with EMIR

The report calls for the requirements for credit, market, and counterparty credit risk in the CRR to be clarified.

01/19/2017

UK and Hong Kong regulators enter into co-operation agreement to foster collaboration and promote innovation

This is the fifth such co-operation agreement that the FCA has entered into (with previous agreements being concluded with regulators in Australia, China, Singapore and South Korea) and the first such co-operation agreement that the HKMA has entered into,

01/19/2017

Tax reporting under CRS to commence in 2017

One of the complexities that CRS throws up is where Cayman fund managers have a broad mix of non-US taxable investors that need to be identified and reported

01/18/2017

Cyprus Market Abuse Law - PDMRs and closed periods

In turn the issuer must promptly make the information public and no later than three business days after the transaction.

01/18/2017

FCA takes first criminal action against an individual acting as unlicensed consumer credit lender

The first time that the FCA has taken criminal action in a case related to its consumer credit powers.

01/18/2017

Deutsche Bank Agrees to Pay $7.2 Billion for Misleading Investors in its Sale of Residential Mortgage-Backed Securities

Deutsche Bank’s Conduct Contributed to the 2008 Financial Crisis

01/18/2017

RBC acquitted in Bahamian tax fraud case

The prosecuting judge filed a notice of appeal.

01/18/2017

Eastern European criminals exploit Scottish ‘tax haven’

The number of limited partnerships established in Scotland, where they benefit from greater secrecy and incur fewer tax liabilities than in the rest of Britain, has grown rapidly.

01/18/2017

Russia cbank puts Rosneft's bank in charge of Orthodox lender

The central bank is now in the midst of cleaning up Russia's banking system.

01/18/2017

Slovenia and US confirm recognition of pension insurance

The agreement will make it easier for many highly skilled Slovenians to return after a period of work in the US

01/18/2017

Devoise Advises Rolls-Royce in Coordinated Resolutions with UK, U.S. and Brazil Investigating Authorities

Debevoise was engaged by Rolls-Royce in early 2012 to assist with certain enquiries from the SFO and to lead the subsequent internal investigations.

01/18/2017

BRIEF-Thaihot Group's unit to invest in CITIC Capital London Mayfair Property Fund

Says unit signs agreements to invest for property project in London

01/17/2017

Herbert Smith Freehills - Financial regulation update

FSCS plan and budget 2017/18

01/17/2017

Two sentenced in insider dealing case

A clear example for those who are tempted to insider deal, that they are more likely to be caught

01/17/2017

UK Government launches review of Limited Partnerships

A Limited Partnership is a type of business made up of a number of partners, who can be people or other business entities.

01/17/2017

Rolls-Royce’s SFO settlement is big, ugly and serious

Investors know better now.

01/17/2017

SJP faces backlash for escaping 1% exit charge on pensions

The company, which currently works with 3,000 advisers in the UK and has a big presence in Asia.

01/17/2017

Fiscal rights and responsibilities

There is broad political consensus that we should not give up our right to hold on to our fiscal sovereignty.

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