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Legal, Regulation & Compliance

01/14/2015

Oppenheimer loses bid to collect $30 mln from Deutsche Bank

An arbitration panel has denied U.S. brokerage firm Oppenheimer & Co's attempt to collect more than $30 million from Deutsche Bank AG related to the sale of auction-rate securities that the bank created

01/13/2015

UK banking, other trade bodies to consult on merger

The aim would be to create a more cost efficient and streamlined lobbying group

01/13/2015

International law firm appoints Corporate and Capital Markets Partner

He focuses on general corporate transactions, acting for high net worth families, hedge funds and businesses in the hospitality, real estate and technology sectors.

01/13/2015

Europe’s Largest Asset Manager Joins Thomson Reuters Accelus Org ID KYC Managed Service

Thomson Reuters will work with Amundi to streamline and simplify the exchange of required documentation with its financial counterparties via a secure, independent managed service

01/13/2015

International law firm Opens in Luxembourg

The new office will be located on the Boulevard Royal, at the heart of Luxembourg’s financial and business district.

01/13/2015

Lombard Odier wins £2.7m legal row with ex-hedge fund manager

The fund closed four years after its launch in December 2009

01/12/2015

Part I: SS&C GlobeOp and Regulatory Reporting By: Tom Kirkpatrick and Alexandra Gillespie

In Part II of the interview, the discussion will turn to the new European clearing mandates and the overall future of OTC processing.

01/12/2015

HSBC refunds £350m to customers after banking rules blunder

Some customers are said to have received offers for up to £4,000 from the bank

01/12/2015

Deutsche Bank Weighs Sale of Postbank Unit

Retail Unit Is Examined as Part of Strategy Review Due Out in Spring

01/12/2015

Cayman Finance supports CIG’s beneficial ownership stance

Cayman’s system has been in place for years and already fulfills the FATF recommendations on how a country can comply with the global availability of information standard,” said Mr Scott.

01/09/2015

Domestic banks reject EU finance fusion

The Brunetti committee was commissioned by the government in September 2013

01/09/2015

FCA and AMPS ‘rift’ leaves SIPP operators adrift on pension liberation

Leggett also said the FCA "does not seem interested in pension liberation".

01/09/2015

Broker investigator targeted by FCA

For over 30 years it has acted as a trusted partner for strategic business consultancies

01/09/2015

Can The Art Market Resist Pressure For More Regulation?

Major changes in the art market and wider trends in society are challenging the tradition and duty of confidentiality observed by many art professionals and collectors.

01/08/2015

Millions could have to change bank sort code under ring-fence rules

Banking lobby group calls for plans to be sped up to enable lenders to minimise disruption to consumers

01/07/2015

First convictions for the SFO under the Bribery Act 2010 by Withers

The Serious Fraud Office (‘SFO’) has successfully prosecuted three individuals for a fraud worth approximately £23 million, including securing its first convictions under the Bribery Act 2010 (‘BA’), which applies to conduct

01/07/2015

Squire Patton Boggs Adds New Financial Services Expertise in London

A highly-experienced banking and finance lawyer, Mr. Hayward is well-known and highly regarded for his expertise particularly in the areas of acquisition and leveraged finance.

01/07/2015

FCA fines Execution Noble & Company Limited £231,000 for failings as a sponsor

Sponsors perform a dual role which involves providing expert advice

01/07/2015

Jim Learner Returns to Kirkland & Ellis in London

Mr. Learner has extensive experience advising clients on complex transactions

01/07/2015

Hogan Lovells Announces 24 Promoted to Partnership and 41 Promoted to Counsel, Of Counsel and Consultant

The global law firm includes more than 800 partners in offices across Africa, Asia, Europe, the Middle East, and the Americas.

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