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Regulators

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Invesco Fined, EU Stress Test, Libor Charges: Compliance

29/04/2014(0)
Invesco Perpetual (IPE) was fined 18.6 million pounds ($31.3 million) for failing to comply with risk limits or tell clients about the use of derivatives as leverage in their ... Read More
asic

ASIC cancels Banksia’s AFS licence

28/04/2014(0)
Australian Securities and Investments Commission (ASIC) has cancelled Banksia Mortgages Limited’s (Banksia Mortgages) Australian financial services (AFS) licence. Banksia Mortgages is one of four subsidiaries of the Victoria-based Banksia ... Read More
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SEC Charges Six Individuals With Insider Trading in Stock of E-Commerce Company Prior to Acquisition by eBay

28/04/2014(0)
The U.S. Securities and Exchange Commission (SEC), has charged a former executive with insider trading in advance of eBay’s acquisition of the e-commerce company where he worked by tipping ... Read More
legal-news

SRA publishes responses to changes to education and training regulations

28/04/2014(0)
The Solicitors Regulation Authority (SRA) has published its response to the 12-week consultation on changes to the education and training regulations. The consultation was launched in December 2013 and ... Read More
FCA_regulator

FCA warning against clone firms

25/04/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that: “ING Bank N.V” is the clone of the EAA authorised firm ... Read More
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FCA Said to Observe Banks’ London Gold-Fixing Calls

25/04/2014(0)
Regulators are stepping up their scrutiny of how gold prices are set, with officials from Britain’s Financial Conduct Authority visiting Societe Generale SA (GLE) to observe the so-called London ... Read More
bank-new-zealand_regulator

Reserve Bank raises OCR to 3 percent

24/04/2014(0)
The Reserve Bank of N.Zealand has issued a press release informing on country’s economy as follows: New Zealand’s economic expansion has considerable momentum, with GDP estimated to have grown ... Read More
FCA_regulator

FCA warning against unauthorised firms

24/04/2014(0)
The Financial Conduct Authority (FCA), the British financial regulatory authority, has issued a warning informing the investors that the following firms are not permitted to provide any financial services or ... Read More
FCA_regulator

FCA appoints two new senior advisers focused on competition and investment banking

23/04/2014(0)
The British Financial Conduct Authority (FCA), has issued a press release announcing the appointment of two senior advisers as follows: Martin Wheatley, chief executive of the FCA, said of ... Read More
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SFC reprimands and fines The Royal Bank of Scotland PLC $6 million for internal control failings

22/04/2014(0)
The Securities and Futures Commission (SFC) of Hong Kong, has issued a reprimand to The Royal Bank of Scotland Public Limited Company (RBS) and fined it $6 million for ... Read More
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