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Showing 96 out of 113 results
Market abuse update - April 2015
2014 was marked by record fines for benchmark manipulation globally, criminal prosecutions for insider trading and market manipulation, and the first …
Hong Kong court dismisses investor's counterclaim against bank for mis-selling of financial products
The Court of First Instance has recently handed down its judgment in DBS Bank (Hong Kong) Limited v Sit Pan Jit (HCA 382/2009), which concerned a …
Iran sanctions - US and EU announce framework agreement including proposals to suspend sanctions
On April 2, 2015 representatives from the US, EU and Iran announced that, following extensive negotiations, the "P5+1" (China, France, Germany, Russia, …
UK: FCA and HM Treasury publish approach to UK implementation of MIFID II
The FCA and HM Treasury have published the first set of papers on the UK implementation of MiFID II: FCA discussion paper "Developing our approach to …
The new market misconduct enforcement regime in Singapore - and a brief comparison with the position in Hong Kong
From 17 March 2015 onward, all market misconduct offences (such as insider trading and market manipulation under Part XII of the Securities and Futures …
UK: Concurrent competition powers for the Financial Conduct Authority and Payment Systems Regulator
On 1 April 2015 the Financial Conduct Authority (FCA) obtained new concurrent competition powers under the Competition Act 1998 (CA98) and the Enterprise …
Has the EBA got it wrong? Proposals to apply the "bankers' bonus cap" to more banks and investment firms
Proposed guidelines from the European Banking Authority (EBA) would extend the "bankers' bonus cap" to all IFPRU investment firms as well as all banks, …
UK: Broker breached fiduciary duty by not disclosing sum of commission received
The Court of Appeal has held that a credit broker was in a fiduciary relationship with borrowers, with the consequence that the broker reached its …
UK High Court orders disclosure despite risk of prosecution for criminal contempt under US law
The High Court has ordered a party to litigation to allow the inspection of an attachment to a Deferred Prosecution Agreement entered into with the US …
The Serious Crime Act 2015
The Serious Crime Bill received Royal Assent on 3 March 2015 and will now enter into force as the Serious Crime Act 2015 (the "Act"). It introduces …
Solvency II and Non-Executive Directors
The PRA and FCA have confirmed their approach to non-executive directors (NEDs) under the Senior Insurance Managers Regime (SIMR). Some …
US establishes new Venezuela sanctions regime and imposes sanctions on Venezuelan officials
On Monday, 9 March 2015, President Obama signed an executive order declaring a national emergency to deal with the threat to US national security and …
Showing 96 out of 113 results
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