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Legal, Regulation & Compliance

08/11/2016

FCA policy statement on increasing transparency and engagement at renewal in general insurance markets

The FCA has published a policy statement (PS16/21).

08/11/2016

Poland Starts Work on Toughening Banks’ Swiss-Franc Burden

Stocks and the Polish currency rallied on the day the proposal was unveiled as investors bet the solution will be less costly than assumed under an earlier plan.

08/11/2016

Consultation on ‘Code of Conduct’ for Isle of Man Insurance Companies

The MIA recognises the need for an insurance regulatory framework which meets relevant international standards but which is also sufficiently proportionate to allow our members to continue to attract business.

08/11/2016

A new era of entrepreneurs? by Dr Stuart Thomson, Head of Public Affairs, Bircham Dyson Bell

Certainly no one in the business community is talking the economy down and they are up for the fight that the Brexit result has delivered. However, entrepreneurs are concerned about the future.

08/11/2016

UK international and cross-border arbitration rules face post-Brexit shake-up

As it stands, law firm Baker Botts has stressed to Financial Director, the law that matters is the Brussels I Regulation

08/11/2016

App-only bank Mondo just got a banking licence

Mondo aims to create a digital-only bank for the mobile generation that offers things like instant notifications of transactions and balances.

08/11/2016

UK's biggest rogue trader on the drive to make profits at any cost at the heart of banking

He was found guilty of two counts of fraud in 2012 at Southwark Crown Court and sentenced to seven years in prison.

08/10/2016

Qumu Gains Award-Winning Law Firm as a Customer

The Qumu platform will streamline the creation, management and distribution of video content to employees and clients.

08/10/2016

Bank of Russia set to expand its efforts to mop up liquidity glut

As the second year of deficit spending floods the country’s financial system with cash, the inflows are weaning lenders off central bank funding.

08/10/2016

Bank of Italy to close AS PrivatBank branch over money-laundering breaches

AS PrivatBank, 46 percent owned by Ukraine's PrivatBank, was set up in Latvia in 1992 with 13 branches in Latvia and one in Italy.

08/10/2016

Ex-Nomura Bond Trader Wins Dismissal Case After $40 Million Loss

The bank is “disappointed” with the judgment, a spokeswoman in London said.

08/10/2016

Law Makers Should Take Blame For Tax Avoidance

To lie about financial matters or cheat the taxman is viewed as a criminal offence.

08/10/2016

Polish regulator asks KSF for view on BGZ BNP Paribas

The bank says it has not received any information about when the capital buffer requirement would be implemented or its impact on minimum capital adequacy ratios.

08/10/2016

ESMA Publishes Further Advice on the Application of the AIFMD Passport for Non-EU Jurisdictions

The decision on whether to extend the passport rests with the European Commission, subject to the right of the European Parliament and European Council to raise objections.

08/10/2016

Broker fined for Quindell listing failures by FCA

An AIM-quoted company that provides various securities-related services to UK companies.

08/09/2016

Barclays reaches US$100 million US Libor settlement: NY attorney general

Manipulated Interest Rates Hurt Government And Not-For-Profit Entities In New York And Across The Country

08/09/2016

Hoots and squawks come home to nest at Deutsche Bank

Bank to pay $12.5m to securities watchdog over information broadcast on internal speaker system

08/09/2016

One monthe to deadline for implementing FCA and PRA whistleblowing rules

Given the distractions of the summer holiday season and the aftermath of the Brexit referendum, it would be understandable if other developments slipped off the radar.

08/08/2016

Fraud claims leave life insurers in a fix

Life insurance companies in a fix over the provision of claims

08/08/2016

FIX Trading Community announces new recommended guidelines for the use of FIX in multi asset classes for post-trade

Following on from its work with cash equities, the working group assessed a number of different asset classes and how variations in workflow can create issues.

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