Hot on the heels of the British Financial Conduct Authority’s proposals for improving larger firms' operational resilience, to be found in CP 19/32, the regulator has published an assessment of the way in which asset managers use risk modelling and portfolio management tools.
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 services and financial advice profession, has demurred.
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 has published a list.
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 notion of culture because it is far less tangible than hard sales figures and profit margins, but struggle they must.
Hot on the heels of the British Financial Conduct Authority’s proposals for improving larger firms' operational resilience, to be found in CP 19/32, the regulator has published an assessment of the way in whic...
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 ...
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...
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...
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...
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...
The Financial Market Supervisory Authority of Azerbaijan has ceased to be the financial regulatory authority for that country. ...
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....
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...
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...