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Hefty fine as HK SFC steps up scrutiny of intermediaries' compliance with self-reporting obligations
On 30 July 2015, the Hong Kong Securities and Futures Commission (SFC) announced that it had reprimanded and fined Nomura International (Hong Kong) …
Ombudsman determinations, fraud and nemesis
Ombudsmen within the Financial Ombudsman Service (FOS) make decisions on complaints by customers of financial firms. An example of such a decision is an …
UK: New pilots of streamlined procedures for claims in the main business courts
Two pilot schemes, the Shorter Trials Scheme and the Flexible Trials Scheme, will be introduced for claims commenced from 1 October and will …
How European legislation may affect product intervention powers
FCA's product intervention powers The Financial Conduct Authority acquired product intervention powers on its creation in April 2013. It can make rules …
One small step for Europe; one giant leap for data protection?
In June 2015, the Council of Ministers of the European Union finally agreed a general approach on the proposed EU General Data Protection Regulation, …
Can one contract into the Consumer Credit Act 1974?
The Consumer Credit Act 1974 From 1998 to 2008 the Consumer Credit Act 1974 only applied to agreements to lend consumers less than £25,000. The financial …
UK: High Court strikes out claim for mis-selling of an interest rate hedging product on the basis of a pre-existing settlement
In Gary Ronald Marshall v Barclays Bank plc [2015] EWHC 2000 (QB), the bank applied to strike out a claim against it for alleged mis-selling of an …
EU: ESMA disagrees with the EBA on proportionality: guidelines on remuneration under UCITS V are published for consultation
On 23 July 2015, the European Securities and Markets Authority ("ESMA") published its draft guidelines on the implementation of the UCITS V remuneration …
High Court rules that payment under a guarantee would breach EU Libya sanctions regime, and considers contractual exemption provisions
In a recent judgment, the English High Court has considered some of the exemption language commonly found in EU sanctions regimes which is applicable to …
The BoE approach to Solvency II
Geoff Maddock, partner Email | Profile tel: +44 20 7466 2067 mobile: +44 7785 255016 By Geoff Maddock, corporate insurance …
US: Ninth Circuit Insider Trading Ruling May Conflict with Second Circuit's Newman Decision
The Ninth Circuit, in a decision issued on July 6, 2015, has upheld the insider trading conviction of Bassam Yacoub Salman for insider trading securities …
Iran sanctions – agreement announced regarding nuclear program and sanctions relief
In the early hours of July 14, 2015, it was announced that the P5+1/EU3+3 and Iran had reached agreement on the Joint Comprehensive Plan of Action …
Showing 1,284 out of 1,844 results
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