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Comment and Analysis

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Jurisdiction Focus

A year at APRA

With an air of noticeable contrition, the Australian Prudential Regulatory Authority is keen to advertise the things it has been doing to please the Hayne Royal Commission. To this end, its chairman Wayne Byers ...

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Best Practice

Kulturkampf!

It is hard to achieve the 'right' culture and virtually impossible to quantify 'good culture' in the precise, technical terms that people who work in financial services love. Many executives struggle with the no...

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Regulation of Products

Caymans propose new fund registration rules

The Government of the Cayman Islands has just published a Private Funds Bill and a proposal to amend the Mutual Funds Law (2019 Revision) as a result of pressure from the European Union and other international b...

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Suitability

ESG investing - some handy tips from FINRA

There is no formal definition of an ESG (Environmental, Social and Governance-related) investing style and people often use various names, such as sustainable investing, socially responsible investing and impact...

Latest News

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Jurisdiction Focus

PIMFA blasts FSCS annual levy of £635 million

The UK's Financial Services Compensation Scheme has announced that it wants to levy £635 million on the financial industry in the next financial year. PIMFA, the UK’s trade body for the personal investment se...

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Jurisdiction Focus

Azerbaijan loses FIMSA

The Financial Market Supervisory Authority of Azerbaijan has ceased to be the financial regulatory authority for that country. ...

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Jurisdiction Focus

FCA returns funds to land banking victims

The UK's Financial Conduct Authority has obtained High Court approval for a scheme to return £2.5 million to compensate victims of a series of unauthorised collective investment schemes....

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Fines and Punishment

South Korean brokerage pays CFTC US$700,000 for spoofing

In a court order that is of interest to all exchange-facing wealth management firms, the US Commodity Futures Trading Commission has alleged that between December 2014 and April 2016 Daewoo Securities Co Ltd too...

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People Moves

Opposition criticises Bailey's appointment

Parliamentary questions have been asked about the wisdom of HM Treasury's appointment of Andrew Bailey, the head of the UK's Financial Services Authority, to the Governorship of the Bank of England. Debate hinge...