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Besso Limited fined for anti-bribery and corruption systems failings
The FCA fined Besso Limited £315,000 for failing to take reasonable care to establish and maintain effective systems and controls for countering the risks of bribery and corruption.
Originally Published:
Wednesday, March 19, 2014
Assessment of Basel III capital regulations in Australia concluded by the Basel Committee
The Basel Committee on Banking Supervision published a report assessing the regulations that implement the Basel capital framework in Australia.
Originally Published:
Monday, March 17, 2014
Unregulated Collective Investment Schemes and other Non-Mainstreamed Pooled Investments
New rules exist in regards to unregulated collective investment schemes (UCIS) whereby their promotion must be limited.
Originally Published:
Friday, March 14, 2014
SEC Announces Charges Against Brokers, Adviser, and Others Involved in Variable Annuities Scheme to Profit From Terminally Ill
The Securities and Exchange Commission announced enforcement actions against a pair of brokers, an investment advisory firm, and several others involved in a variable annuities scheme to profit from the imminent deaths of terminally ill patients in nursing homes and hospice care.
Originally Published:
Thursday, March 13, 2014
SEC Proposes Rules for Systemically Important and Security-Based Swap Clearing Agencies
The Securities and Exchange Commission voted to propose new rules to enhance the oversight of clearing agencies that are deemed to be systemically important or that are involved in complex transactions, such as security-based swaps.
Originally Published:
Wednesday, March 12, 2014
SEC Launches Enforcement Cooperation Initiative for Municipal Issuers and Underwriters
The Securities and Exchange Commission announced a new cooperation initiative out of its Enforcement Division to encourage issuers and underwriters of municipal securities to self-report certain violations of the federal securities laws rather than wait for their violations to be detected.
Originally Published:
Monday, March 10, 2014
Basel III monitoring results published by the Basel Committee
Basel Committee report which contains the results of its Basel III monitoring exercise.
Originally Published:
Thursday, March 6, 2014
The FCA’s regulatory approach to crowdfunding over the internet, and the promotion of non-readily realisable securities by other media - Feedback to CP13/13 and final rules
This paper contains the FCA’s approach to crowdfunding over the Internet and the promotion of non-ready realizable securities by other media.
Originally Published:
Thursday, March 6, 2014