09/01/2016
A settlement agreed between the FRC’s Executive Counsel, PwC and the then audit engagement partner, Mr Simon Bradburn, has been approved by a legal member of the independent Tribunal Panel.
08/31/2016
The SFC’s investigation found that at the material time, the monetary benefits, including charges, mark-ups and fees, received by BNPPWM from around 2,300 client transactions exceeded the levels it represented in its documentation provided to the cl
08/29/2016
On August 22, the European Commission (Commission) adopted two further delegated regulations (Delegated Regulations) to supplement the amended and restated Markets in Financial Instruments Directive (MiFID II), and the Markets in Financial Instruments Reg
08/25/2016
The FCA said it had expected its figures for the second quarter of 2016 to get worse - and the maximum waiting time has increased by nearly 50 per cent on the previous three months, when it was 50 weeks.