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Searching Content indexed under Financial Services by Roan Lamp ordered by Published Date Descending.
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Date
1
Implementation Of Market Abuse Regulation Enters Final Phase
A recently published draft decree will soon finalise the implementation of the European Market Abuse Regulation (MAR) in the Netherlands.
Netherlands
24 Mar 2017
2
Settlements In Brief: Notable US Settlements In November
Enforcement actions by criminal and supervisory authorities are settled regularly. In light of this, companies are advised to take appropriate measures.
United States
14 Dec 2015
3
Settlements In Brief: Banks Escape Criminal Prosecution
Enforcement actions by criminal and supervisory authorities are settled regularly. In light of these developments, companies are advised to take appropriate measures.
Worldwide
10 Jul 2015
4
Settlements In Brief: US And UK Regulators Penalise Big Banks For Foreign Currency Manipulation
Enforcement actions by criminal and supervisory authorities are settled regularly.
Worldwide
12 Jun 2015
5
Settlements In Brief: Regulators Issue High Monetary Penalties In Combatting Financial Crime
Enforcement actions by criminal and supervisory authorities are settled regularly. In light of these developments, companies are advised to take appropriate measures.
Netherlands
13 May 2015
6
Banking Supervisor Updates Guidance On Money Laundering And Terrorist Financing Laws
The Dutch Central Bank recently published its updated guidance on sanction laws and legislation against money laundering and terrorism financing.
Netherlands
12 May 2015
7
Dutch Government Appears To Tighten Grip On Independent Conduct Supervision
Internal discussions on whether members of the AFM’s supervisory board can hold positions in companies or financial institutions prompted the Minister of Finance to conduct an integrity audit.
Netherlands
13 Feb 2015
8
Settlements In Brief: Bank Of America, BNP, Citigroup And Morgan Stanley
Cases resulting in economic sanctions and enforcement actions by (criminal) supervisory authorities related to RMBS are settled fairly regularly.
United States
18 Sep 2014
9
Dutch Central Bank Provides Good Practices In Battling Corruption
The Dutch Central Bank has recently published a brochure on countering corruption.
Netherlands
16 Apr 2014
10
Compliance
The US Federal Reserve and the Office of the Comptroller of the Currency have taken official enforcement actions against JP Morgan Chase.
Worldwide
14 Feb 2013
11
FCPA Violations
Allianz SE has agreed to pay USD 12,396,423 to settle charges of violating the US Foreign Corrupt Practices Act.
Worldwide
14 Feb 2013
12
Insider Trading And Market Manipulation
In connection with investigations into possible rate fixing by banks, the European Commission has amended its proposals for regulation on insider trading and market manipulation.
Worldwide
14 Feb 2013
13
Investigation Into JP Morgan Chase Losses
JP Morgan Chase disclosed on 10 May 2012 that it suffered losses of at least USD 2 billion as a result of a failed strategy concerning high-risk investments.
United States
30 Jul 2012
14
Barclays Agrees Settlement With CFTC, DOJ And FSA
Barclays Bank Plc. ("Barclays") has agreed to pay fines totalling USD 453 million in connection with manipulation of LIBOR and EURIBOR interest rates.
Netherlands
27 Jul 2012
15
Act Introducing Suitability Test And Closer Cooperation Between Financial Supervisors
This Act has come into force on 1 July 2012 and amends the current rules regarding the expertise required of day–to-day policy makers at financial undertakings and of members of the supervisory body at those undertakings.
Netherlands
25 Jul 2012
16
FSA To Operate Under 'Twin Peaks' Model
As part of a regulatory reform programme, the UK Financial Services Authority ("FSA") has begun operating under a new regulatory structure since 2 April 2012: the 'twin peaks' model.
UK
4 May 2012
17
DNB Announces 2012 Supervisory Themes
DNB has announced the issues that merit its special attention this year.
Netherlands
4 May 2012
18
US Charges 3 Swiss Bankers In Tax Evasion Case
On 3 January 2012 three Swiss bankers working for Switzerland's oldest bank, Wegelin & Company, were charged with tax evasion by US prosecutors in Manhattan.
Worldwide
1 Feb 2012
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