The UK Financial Conduct Authority has issued a discussion paper seeking feedback on how the UK capital markets can most effectively meet the needs of issuers and investors
06 February 2017 Washington DC Reporter: Drew Nicol
President Trump has paved the way for sweeping a regulatory overhaul by signing an executive order giving the the Treasury broad powers to scrap rules that do not comply with the administration’s ‘core principles’...
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...
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...
16 January 2017Washington 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, the Polish central securities depository, has been granted accreditation to issue legal entity identifier codes by the Global Legal Entity Identifier Foundation...
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...
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...
22 December 2016Washington DC Reporter: Stephanie Palmer
US credit rating agencies are improving their systems for regulatory compliance and increasing competition, according to the Securities and Exchange Commission...
12 December 2016Stockholm Reporter: Stephanie Palmer
The Swedish Export Credit Corporation has opted for the Wolters Kluwer OneSumX solution for compliance with IFRS9 implementation and reporting requirements...
