In this article we take a look at one enormous problem that exchange-facing private banks encounter when trying to clamp down on market manipulation.
Firms and investment funds that wish to benefit from the 12-month transitional regime of Luxembourg's Brexit laws are required to notify the Commission de Surveillance du Secteur Financier no later than 15 September 2019. This applies to Luxembourgeois UCITS firms and firms licensed in the UK under the aegis of CRD IV, MiFID II, PSD2 and/or the E-money Directive.
The Securities and Futures Commission of Hong Kong has decided to require to safeguard clients' assets from sharp practice by forcing firms to sign 'client asset acknowledgement letters' with intermediaries.
Woodford-held Burford Capital has been in the news since US hedge fund Muddy Waters called it 'an accounting fiasco that's potentially insolvent' and caused its stock to crash in value. The Financial Services Authority is now investigating.
In this article we take a look at one enormous problem that exchange-facing private banks encounter when trying to clamp down on market manipulation. ...
In this article Compliance Matters speaks to Howard Taylor, a senior regulatory and compliance consultant who works for Capco, the technology and management consultancy, about two topical subjects in the wealth ...
Because of a series of regulatory developments in China this year, foreign fund managers are expected to expand the scope of their onshore private fund entities and enter the public market earlier and more smoot...
A survey that gauges preparations for the British Financial Conduct Authority’s Senior Managers and Certification Regime has revealed that most firms have plenty of work to do as they prepare for its extension...
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Nicos Anastasiades, the President of Cyprus since 2013, has been linked to the Magnitsky scandal, the largest tax fraud in Russian history, in yet another round of disclosures from Global Witness, the Investigat...
Firms and investment funds that wish to benefit from the 12-month transitional regime of Luxembourg's Brexit laws are required to notify the Commission de Surveillance du Secteur Financier no later than 15 Septe...
Woodford-held Burford Capital has been in the news since US hedge fund Muddy Waters called it 'an accounting fiasco that's potentially insolvent' and caused its stock to crash in value. The Financial Services Au...
The Securities and Futures Commission of Hong Kong has decided to require to safeguard clients' assets from sharp practice by forcing firms to sign 'client asset acknowledgement letters' with intermediaries....
The European Union's second Payment Services Directive (PSD2) and the related regulatory technical standards set 14 September as the deadline for the mandatory adoption by banks and other payment service provide...
As part of its short, thematic 'SPOT' inspections, the Autorité des marchés financiers has examined the socially responsible investment (SRI) systems implemented by five asset management companies (AMCs) and t...