The UK's Financial Conduct Authority has published a decision notice in which it proposes to issue an order under s56 Financial Services and Markets Act to prohibit Andrew Tinney, the global chief operating officer of Barclays Wealth and Investment Management, from performing any senior management function again. It cannot do so, however, until it defeats Tinney's appeal against it.
The Swiss Financial Market Supervisory Authority FINMA has activated a so-called 'digital delivery' platform which enables supervised institutions and audit firms to submit documents electronically in a user-friendly and secure way.
The worlds of politics and finance are reacting to the latest data "leak" from an IFC.
Latvia's Financial and Capital Market Commission has decided to prohibit Versobank AS from operating there.
The UK's Financial Conduct Authority has published a decision notice in which it proposes to issue an order under s56 Financial Services and Markets Act to prohibit Andrew Tinney, the global chief operating offi...
The Financial Action Task Force has evaluated Canada's compliance with its '40 recommendations' against money laundering and terrorist finance....
The Financial Action Task Force has evaluated Austria's compliance with its '40 recommendations' against money laundering and terrorist finance....
The US Securities and Exchange Commission has settled with a non-financial company over clauses it put into severance contracts for its employees. As the Dodd-Frank Act was its authority for doing so, however, t...
Corruption probes at the China Banking Regulatory Commission and the China Securities Regulatory Commission have cast the regulators' competence into doubt in recent months....
The worlds of politics and finance are reacting to the latest data "leak" from an IFC. ...
The Financial Services Authority of the Seychelles says that an entity by the name of Zong Wei Investment Co Ltd is using a falsified FSA Seychelles Securities Dealer Licence certificate in order to ensnare unwa...
The Swiss Financial Market Supervisory Authority FINMA has activated a so-called 'digital delivery' platform which enables supervised institutions and audit firms to submit documents electronically in a user-fri...
Latvia's Financial and Capital Market Commission has decided to prohibit Versobank AS from operating there....
Making no mention of fund management, asset management, high net worth or wealth management, the US Office of the Comptroller of the Currency has issued its bank supervision operating plan for 2017. ...