The Coalition’s Future for Financial Advice?
Originally Published:
Tuesday, February 18, 2014
The Coalition Government seeks to roll-back some of the most effective aspects of the Future of Financial Advice (FOFA) reforms.
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A Fixed Game?
Originally Published:
Saturday, February 15, 2014
Is the fix in? If it's 4 p.m. in London, and you're talking about foreign exchange trading, the answer is a definite "maybe."
Thematic Review of Annuities
A review into Annuities by the FCA
Originally Published:
Friday, February 14, 2014
Loose ends remain for Australian swap dealers following CTFC substituted compliance determinations
Originally Published:
Wednesday, February 12, 2014
Clayton Utz partner Louise McCoach and Jeff Chen, a partner at Cadwalader, Wickersham & Taft LLP outline a recent development in the Dodd-Frank regime and its effect on Australian companies.
Claims Management Companies and Financial Services Complaints
The FCA has released a guide for consumers, financial service providers and claims management companies on how consumers’ complaints should be handled where they choose to use a claims company.
Originally Published:
Friday, February 7, 2014
Foreign investment law and policy in Australia: A critical analysis
Bowman, Megan; Gilligan, George and O'Brien, Justin. Foreign investment law and policy in Australia: A critical analysis. Law and Financial Markets Review, Vol. 8, No. 1, Feb 2014: 65-77. Availability: <http://search.informit.com.au/documentSummary;dn=209071754122869;res=IELBUS>
Originally Published:
Saturday, February 1, 2014
Proposed amendments to the Listing Rules in relation to sponsor competence and other amendments to the Listing Rules and Prospectus Rules
This paper discusses some proposed amendments to listing rules in relation to sponsor competence.
Originally Published:
Friday, January 31, 2014
Adviser banned and fined for fabricating RDR qualification certificates
Ewan King a former retail investment adviser has been fined around 20,000 pounds and banned from undertaking any regulated activity after fabricating his statement of professional standing.
Originally Published:
Thursday, January 30, 2014
Fundamental elements of a bank's capital planning process issued by the Basel Committee
The Basel Committee has issued a report, which sets out sound practices that foster overall improvement in banks' capital planning practices.
Originally Published:
Thursday, January 23, 2014
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
Standard Bank was fined around 7.6 million£ for failings relating to its anti-money laundering policies and procedures over corporate customers being connected to politically exposed persons.
Originally Published:
Thursday, January 23, 2014