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compliance

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CFTC Divisions Extend Time-Limited No-Action Relief from the Clearing and Trade Execution Requirements for Certain Affiliated Counterparties

29/11/2016(0)
The U.S. Commodity Futures Trading Commission’s (CFTC) Divisions of Clearing and Risk (DCR) and Market Oversight (DMO) today each extended previously-issued no-action relief from the clearing and trade execution ... Read More
ASIC_regulator

Australian Financial Services licence suspended for failing to lodge financial statements

29/11/2016(0)
ASIC has suspended the Australian Financial Services (AFS) licence of Sydney-based Group Underwriters & Managers Pty Ltd (GUM) for three months for failing to lodge financial statements, auditor reports ... Read More
ASIC_regulator

ASIC updates licence conditions on Morgans Financial Limited

24/11/2016(0)
ASIC and Morgans Financial Limited (Morgans) have agreed for an independent compliance consultant to monitor, evaluate and report on Morgan’s implementation of recommendations arising from an independent review of ... Read More
ASIC_regulator

CommSec pays $200,000 in infringement notice penalty

16/11/2016(0)
Commonwealth Securities Limited (“CommSec”) has paid a penalty of $200,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP had reasonable grounds ... Read More
mazars-logo

Mazars appoints new Head of Financial Services in the UK

26/10/2016(0)
International accounting and advisory firm Mazars has announced the appointment of Michael Tripp as the new Head of Financial Services at Mazars in the UK. With Rudi Lang dedicating ... Read More
FCA-logo

FCA: Investment and fund manager banned

24/10/2016(0)
On 20 October 2016 the Tribunal upheld the Financial Conduct Authority’s (FCA) decision to ban Tariq Carrimjee of Somerset Asset Management LLP (Somerset) from carrying out the compliance oversight ... Read More
ASIC_regulator

ASIC warns AFS licensees to lodge financial statements and auditor’s reports on time

06/10/2016(0)
ASIC has been pursuing Australian Financial Services (AFS) licensees that have failed to meet their obligation to lodge their annual financial statements and auditor’s reports with ASIC within the ... Read More
FCA-logo

FCA fines Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited £8.2m for Client Money and Assets failings

05/10/2016(0)
The Financial Conduct Authority (FCA) has today fined Aviva Pension Trustees UK Limited and Aviva Wrap UK Limited (together Aviva) £8,246,800 for failings in its oversight of its outsourced ... Read More
ftse100

FTSE-100 sets aside billions for legal bills

26/09/2016(0)
Top UK-listed companies under intense regulatory scrutiny are setting aside more cash than ever before for anticipated legal bills, according to latest research. Thomson Reuters says FTSE 100 companies ... Read More
bloomberg

Thailand’s leading commercial bank adopts Bloomberg’s multi-asset risk solution

26/09/2016(0)
Bloomberg, the global business and financial information and news leader, today announced that Thanachart Bank, Thailand’s sixth largest bank by asset size, has selected Bloomberg’s multi-asset risk solution (MARS) ... Read More
Broker Cyprus TopFX