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Searching Content indexed under Finance and Banking by Harvey Knight ordered by Published Date Descending.
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1
Withers Succeeds In Clearing Client In Five Year Regulatory Investigation
Withers' Financial Regulatory team has secured victory for their client Andrew Tinney, a former senior banker in a long-running investigation by the Financial Conduct Authority
UK
13 Sep 2019
2
Preparing For An Internal Investigation Or Regulators' Interview
Being involved in an internal investigation can have serious implications for your career and professional reputation.
UK
24 Jul 2018
3
Senior Managers And Certification Regime
On 7 March 2016, the first wave of the Senior Managers and Certification Regime will become effective.
UK
22 Feb 2016
4
Comunicazione Banca d'Italia 25 Marzo 2015 In Materia Di Adempimenti Per Le SGR
Alleghiamo la comunicazione emanata da Banca d'Italia in data 25 marzo 2015 in materia di adempimenti per le SGR conseguenti alle disposizione attuative della Direttiva AIFM.
Italy
2 Apr 2015
5
Valuta Virtuale (Bitcoin E Altre)
La Banca d'Italia ha pubblicato, nell'ambito dei propri poteri di emanare provvedimenti di carattere generale delle autorità creditizie, una Comunicazione in data 30 gennaio 2015.
Italy
5 Feb 2015
6
Vendita Di Prodotti Finanziari Complessi Alla Clientela Retail In Italia
Consob, con la Comunicazione n. 0097996 del 22 dicembre 2014, sconsiglia la vendita alla clientela retail di strumenti opachi e poco comprensibili.
UK
7 Jan 2015
7
Debitori Ipotecari In Default
L'EBA (European Banking Authority) ha posto in pubblica consultazione le linee guida per il trattamento dei debitori ipotecari in default e le azioni esecutive verso gli stessi (arrears and foreclosure) ai sensi della Direttiva sul Credito Ipotecario (Mortgage Credit Directive o MCD).
Italy
24 Dec 2014
8
Obligations For Approved Persons Don’t Stop At The Office Door
The FCA banned Jonathan Burrows, a former Managing Director at Blackrock Asset Management Investor Services Limited, from working in the financial services industry.
UK
18 Dec 2014
9
FCA Supervision - Thematic Reviews
We can expect to see further changes with respect to complaints handling.
UK
10 Dec 2014
10
CRV IV - Remuneration
Mark Carney, Governor of the Bank of England, gave a speech to the Monetary Authority of Singapore targeting bankers’ fixed pay as well to make bankers more personally accountable and to change their behaviour.
European Union
9 Dec 2014
11
Cartolarizzazioni E Informativa Al Pubblico
La Banca d'Italia ha posto in pubblica consultazione la revisione delle disposizioni di vigilanza in materia di operazioni di cartolarizzazione e introduce previsioni in materia di informativa al pubblico in merito alle attività impegnate (Asset Encumbrance).
UK
9 Dec 2014
12
Segregazione Degli Asset Dei Fondi Di İnvestimento
Un ruolo fondamentale nell'architettura della segregazione degli asset è ricoperto dalle banche depositarie e dagli altri soggetti autorizzati alla custodia degli asset degli AIF.
Italy
8 Dec 2014
13
New Funds Supervision Team
In a speech given by William Amos, director of wholesale banking and investment management, the FCA has announced, that it is creating a fund authorisation and supervision team.
UK
5 Nov 2014
14
EBA Opinion On CRD IV Use Of Special Allowances
The EBA has published an opinion on the application of the CRD IV, the principles of remuneration policies of credit institutions and investment firms and the use of special allowances.
European Union
5 Nov 2014
15
Market Abuse Surveillance: A Reminder For Prop And Client Traders
Patrick Spens, head of market monitoring, at the FCA recently spoke about the FCA’s market surveillance tools and expectations.
UK
5 Nov 2014
16
FCA On Restriction Of Retail Distribution Of CoCos And Mutual Funds
The FCA is proposing to put in place new requirements which would apply when mutual society shares are sold to ordinary retail investors.
UK
5 Nov 2014
17
FCA MiFID II Conference Summary
On 18 September, the Financial Conduct Authority held a conference which addressed the agenda for Markets in Financial Instruments Directive (MiFID) II.
UK
25 Sep 2014
18
FCA Guidance On Inducements For Product Providers And Advisory Firms
The FCA has published finalised guidance on inducements for product providers and advisory firms following its consultation (GC13/05) in September 2013.
UK
16 Feb 2014
19
Bank Fined For Failures In Its AML Controls
The FCA has published the decision notice it has issued to Standard Bank plc, fining it £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs).
UK
16 Feb 2014
20
European Commission Legislative Proposal For Banking Structural Reforms
The European Commission has published a legislative proposal for a Regulation introducing structural reforms to the EU banking sector.
European Union
13 Feb 2014
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