08/04/2016
FINRA rules require firms to transmit to OATS complete and accurate data relating to events in the lifecycle of an order, called Reportable Order Events. FINRA found 15 system issues at Barclays Capital that gave rise to OATS reporting violations.
08/04/2016
Its underlying thesis is that all parties must not only comply with their own obligations, but must also be aware of what is happening up and down the chain, and receive and pass on more information and data.
08/03/2016
The Financial Conduct Authority (FCA) has today announced that it intends to consult in autumn 2016 to update the methodology used to calculate the levels of redress due in cases of unsuitable advice on transfers from defined benefit (DB) occupational pen
08/03/2016
This alert highlights some of the risks arising from authorised firms accepting business from unauthorised introducers/lead generators and/or other authorised firms (the ‘introducer’).
08/03/2016
The Market Abuse Regulation (MAR) and the Criminal Sanctions (Market Abuse) Directive (CSMAD) came into application in Europe on 3 July. MAR applies in the UK. CSMAD does not, although it will have a considerable indirect impact.
08/03/2016
The SRB was established at the start of 2016 with the role of winding up failed Eurozone banks as the key decision making body within the EU's Single Resolution Mechanism.
08/02/2016
These Australian relief provisions currently exempt UK and German managers from the requirement to hold an Australian licence to market funds to Australian investors in certain circumstances.
08/02/2016
The directive is designed to police everything from trading venues to commission payments in a bid to protect investors.
08/02/2016
This correlates with the national picture, which sees professional criminal perpetrators increasing the amount of cash they acquire by unlawful means.
08/02/2016
The acquisition is the second at Canary Wharf by HNA, which purchased the ten-storey building at 30 South Colonnade – the home of Thomson Reuters – last year.
08/02/2016
Two of Ogier’s other non-EU jurisdictions, Guernsey and Jersey, were included in the five jurisdictions given an unqualified ESMA assessment.
08/02/2016
International law firm Continues Global Private Equity Real Estate Growth
She has also counseled pharmaceutical and international mining clients, among others, in various real estate matters.
08/01/2016
Rare show of defiance against ‘unclear’ consumer protection plan
08/01/2016
Banks are networked both domestically and internationally through inter-bank borrowing and lending and derivative transactions. Problems at one bank can quickly spread, infecting other firms and the financial system
08/01/2016
The test covered 70 per cent of EU banking assets and mimicked a three-year financial and economic shock
08/01/2016
The predicted boon comes as other sectors are expected to be negatively impacted by the Brexit.
08/01/2016
Britain, home to the EU's biggest finance sector, has been pushing in recent years to deepen its financial services ties with China, which has agreed to these and other cross-border financial services schemes as part of the UK-China Economic and Fina
08/01/2016
At a time when barbarity is blindly striking our countries, France stands alongside Kenya, just as Kenya stands alongside France.
08/01/2016
Regulators will not force banks to set up costly UK subsidiaries, says senior executive
08/01/2016
Taxpayer-owned RBS had the third biggest fall in capital ratio buffers of 51 banks tested