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Extra fees for unarranged overdrafts to be banned
By Neasa MacErlean
Online Published Date:
01 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
FCA and European regulators strike no-deal Brexit agreements
The Financial Conduct Authority, ESMA and EEA National Competent Authorities have pledged Memoranda of Understanding to ease the potential disorder of a no-deal Brexit.If the United Kingdom leaves the European Union without a withdrawal agreement..
Online Published Date:
01 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Post-Brexit data sharing with EU regulators is key for FCA policing market abuse
The Memoranda of Understanding on exchange of information that have been forged between UK and European regulators are a crucial plank in the ongoing endeavour for clean markets, comments Jill Lorimer.
Online Published Date:
01 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Ex-fund manager fined for attempts to influence share prices
A former fund manager has been penalised £32,200 for behaviour intended to suppress prices in an initial public offering and a placing.Paul Stephany, who worked for Newton Investment Management, submitted orders as part of book builds for shares..
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 06 - 01 March 2019
The data-driven future of regulation
Digital Regulatory Reporting is poised to effect revolutionary change to the process of regulation as well as the compliance role in coming years, reports Neasa MacErlean.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
The data-driven future of regulation
Digital Regulatory Reporting is poised to effect revolutionary change to the process of regulation as well as the compliance role in coming years, reports Neasa MacErlean.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 06 - 01 March 2019
CFDs revisited – already!
Late last year the Financial Conduct Authority revisited the temporary measures against binary options and contracts for difference, in order permanently to ban sales of the former to retail investors as well as impose restrictions on sales of CFDs. But who is the target market for these products anyway? asks Adam Samuel.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 06 - 01 March 2019
CFDs revisited – already!
Late last year the Financial Conduct Authority revisited the temporary measures against binary options and contracts for difference, in order permanently to ban sales of the former to retail investors as well as impose restrictions on sales of CFDs. But who is the target market for these products anyway? asks Adam Samuel.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Data protection in a post-Brexit world
As ‘deal or no deal’ talks continue and UK companies prepare for Brexit, data protection is a crucial issue that is not getting the attention it deserves, says Alex Scheinman.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Jury still out on FCA’s revised enforcement approach
Public enforcement outcomes have subsided at the regulator in recent years, and 2018 was no exception. Yet there were more investigations opened and closed without further action by the Financial Conduct Authority than ever. Alison McHaffie and Jonathan Monks analyse the current approach and consider the extent to which it is delivering on its objectives.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Robo-advice – still problematic
Though the use of robotic components within the delivery of financial services is developing apace, automation has yet to be proven effective in the provision of full financial advice. Adam Samuel provides an update.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
‘Open Banking’ and Treasury’s PSD2 consultation
A brave new world for third party providers is advancing in the payment services sector, while UK and EU regulatory initiatives strive to stay abreast and facilitate ongoing innovation. Brett Carr examines HM Treasury’s February consultation paper on the implementation of PSD2, along with Europe and the UK’s Open Banking initiatives.
Online Published Date:
08 February 2019
Appeared in issue:
Vol 29 No 6 - 06 March 2017
Closet tracker funds targeted as FCA issues final asset management rules
By Neasa MacErlean
Online Published Date:
15 February 2019
Appeared in issue:
Vol 31 No 06 - 01 March 2019
Market study of wholesale insurance brokers finds limited cause for concern
By Neasa MacErlean
Online Published Date:
20 February 2019
Appeared in issue:
Vol 31 No 06 - 01 March 2019
MiFID firms given drill for no-deal Brexit through switch to UK reporting regime
By Neasa MacErlean
Online Published Date:
21 February 2019
Appeared in issue:
Vol 31 No 06 - 01 March 2019
Asset management firms fined, in first use of FCA competition powers
Inits initial use of competition powers that it has held since 1 April 2015, the
FCA has issued a decision that three asset management firms have breached
competition laws. Accordingly, Hargreave Hale has been penalised £306,300, and
River and..
Online Published Date:
21 February 2019
Appeared in issue:
Vol 31 No 06 - 01 March 2019
Corruption – the rising risk
The successful judicial review of the Serious Fraud Office’s decision to end its investigation into allegations of bribery against BAE is just one of a series of events that is likely to lead to a rise in anti-corruption investigations and proceedings warn Arun Srivastava, Oliver Kerridge and Jerome Tomas of Baker & McKenzie. Indeed, the Financial Services Authority is already examining potentially corrupt practices by UK financial institutions as part of its effort to reduce the occurrence of financial crime in the Square Mile.
Online Published Date:
25 February 2019
Appeared in issue:
Vol 20 No 10 - 01 July 2008