FCA publishes four month update on the banks’ reviews of sales of interest rate hedging products
FCA publishes its first update on banks’ reviews of sales of Interest Rate Hedging Products.
Originally Published:
Wednesday, September 4, 2013
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Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money
The FCA has fined Aberdeen for failing to identify and protect client money placed in money market deposits with third party banks.
Originally Published:
Tuesday, September 3, 2013
EU proposal for regulation on money market funds
Baklanova, Viktoria and Tanega, Joseph. EU proposal for regulation on money market funds. Law and Financial Markets Review, Vol. 7, No. 5, Sep 2013: 250-255. Availability: <http://search.informit.com.au/documentSummary;dn=696801149186523;res=IELBUS>
Originally Published:
Sunday, September 1, 2013
CP13/8 – Arrangements for the disclosure of regulated information
FCA issues document providing feedback on regulatory regimes for Primary Information Providers, and consultation paper regarding the definition of a Regulatory Information Service.
Originally Published:
Wednesday, August 28, 2013
China joins international efforts to end tax evasion
China has signed the Multilateral Convention on Mutual Administrative Assistance in Tax matters, committing to move towards automatic exchange of information in tax collection.
Originally Published:
Tuesday, August 27, 2013
Gaming the System: Financial Regulation and Institutional Corruption
Originally Published:
Friday, August 23, 2013
Banks may be gaming financial reform in ways that subvert the public purpose of the Dodd-Frank Act, reflecting ongoing fencing over the definition of what constitutes legislative intent.
The JP Morgan Scandal II: Just a Story of Two More Rogue Traders?
Originally Published:
Wednesday, August 21, 2013
Is the most recent bank scandal just a case of two more bad apple rogue traders or an almost inevitable result of the structural incentives hard-wired into the DNA of the financial industry?
The JP Morgan Scandal I: Of Whales, Tempests and Teapots
Originally Published:
Saturday, August 17, 2013
Manipulative activities in the London Whale scandal stimulate criminal charges and some confusion as to who is being charged, who is not, and what those charges are or should be.
CPSS and IOSCO issue report on progress towards implementing the Principles for financial market infrastructures
CPSS and IOSCO publish report reviewing jurisdictions’ progress towards implementing the Principles for financial market infrastructure.
Originally Published:
Monday, August 12, 2013
FCA decides to fine Tariq Carrimjee in relation to market abuse committed by Rameshkumar Goenka in October 2010
FCA publishes Decision Notice for Tariq Carrimjee for recklessly assisting Goenka to manipulate securities.
Originally Published:
Thursday, August 8, 2013