07/04/2024
Swiss price regulator puts UBS under observation
ComCo's analysis has shown that the merged UBS now has market power or dominance in some markets
Legal, Regulation & Compliance
07/04/2024
EQS Group to acquire Data Legal Drive
The strategic move will confirm EQS Group's leading position in the European compliance SaaS market
07/03/2024
Most EU resolution banks comply with the requirement aimed at supporting orderly resolution in case of failure, the EBA dashboard finds
The amount of instruments coming to maturity over the next year for the sample reached EUR 207bn.
07/03/2024
Final guidelines issued on funds using ESG or sustainability-related terms in names
ESMA’s new guidelines mark a significant step towards greater transparency and accountability in the ESG investment space.
07/02/2024
UK employment and labour laws 2024: expert analysis
Global Legal Insights is a leading provider of international legal intelligence
07/02/2024
SJP told to pay out after pension transfer error 'ruined' client's holiday
He came to understand this was to do with confusion around the account number but the funds were not returned to him for several weeks.
07/01/2024
Businesses urged to review AI policies as Ireland prepares to implement EU AI Act
Irish businesses should review their existing policies and create an inventory of any AI systems they are using or deploying in preparation for the incoming EU AI Act.
07/01/2024
Pensions Ombudsman decisions offer reassurance around risks of providing online systems
If in any doubt about their fund information, they should contact their provider by phone or secure message, rather than rely solely on their provider’s online system.
06/28/2024
ECB publishes supervisory banking statistics on significant institutions for the first quarter of 2024
The year-to-date amounts presented in the profit and loss tables are now also available as linearly annualised in the ECB Data Portal .
06/28/2024
snappi receives banking license from the European Central Bank
The licensing process was facilitated by snappi's experienced team
06/28/2024
EU watchdog calls out banks for inflating capital buffers
They convert into equity or are written off if a bank's capital drops below a certain level.
06/27/2024
The EU Corporate Sustainability Due Diligence Directive is final: how can companies prepare?
Many companies that will face extensive obligations under the CSDDD will also be subject to requirements pursuant to the Corporate Sustainability Reporting Directive
06/27/2024
Private Client and Trusts team shortlisted for two STEP awards
The STEP Private Client Awards are seen as the hallmark of quality within the private client industry.
06/26/2024
Federal Council confirms implementation of final Basel III standard with effect from 1 January 2025
The Federal Council took note of the most recent developments.
06/25/2024
Killik & Co accused of ‘unethical’ behaviour after bypassing adviser
They kept saying ‘this is unethical, they shouldn’t be doing this?
06/25/2024
FCA regulatory updates 2024: what’s happened so far?
IQ-EQ has compliance consulting teams based in the U.S., UK, Hong Kong and Singapore as well as the Middle East, Continental Europe and Japan.
06/24/2024
FCA takes action against three individuals from SVS Securities for mistreatment of pension funds
The FCA has decided to ban and fine 3 individuals who were involved in running SVS Securities Plc (SVS), a discretionary fund manager.
06/24/2024
Pension fund administrator obtains Finma approval
Pekam offers specialised services for pension funds that outsource their administrative tasks
06/21/2024
St James’s Place under scrutiny: what do its customers say?
New regulations introduced last summer
06/21/2024
IHT receipts surge 16.6% amid UK election manifesto pledges
OBR’s forecast paints IHT as an increasingly lucrative source of income for the government