All regulation news

UK and US regulators round on Deutsche Bank

31 January 2017 London
Reporter: Stephanie Palmer

Deutsche Bank is set to pay a total of around $628.1 million to the UK’s Financial Conduct Authority and the New York State Department of Financial Services to settle charges around failings in its AML framework...

US and Hong Kong augment data sharing deal

20 January 2017 Washington DC
Reporter: Drew Nicol

The US Securities and Exchange Commission has renewed its ties with the Hong Kong Securities and Futures Commission to further strengthen oversight of entities operating in both markets...

Morgan Stanley settles over custody rule violation

16 January 2017 Washington DC
Reporter: Stephanie Palmer

Morgan Stanley has agreed to pay $13 million to settle charges from the SEC that it overbilled investment advisory clients and violated the custody rule relating to annual surprise examinations...

KDPW gains LEI issuer accreditation

10 January 2017 Warsaw
Reporter: Stephanie Palmer

KDPW, the Polish central securities depository, has been granted accreditation to issue legal entity identifier codes by the Global Legal Entity Identifier Foundation...

AIC recommends abolishing AIFMD post-Brexit

09 January 2017 London
Reporter: Stephanie Palmer

The Association of Investment Companies (AIC) has recommended that the UK government scraps the Alternative Investment Fund Managers Directive following its exit from the EU...

Deutsche Bank and Credit Suisse pay for RMBS

23 December 2016 New York
Reporter: Mark Dugdale

The US Department of Justice has agreed settlements with Deutsche Bank and Credit Suisse over the sale of residential mortgage-backed securities worth more than $10 billion, and brought civil charges against Barclays...