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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.

FCA bans and fines two for failing to monitor promotion of Unregulated Collective Investment Schemes

FCA finds that John Leslie and Jeffrey Bennett failed to exercise due skill, care and diligence in their controlled functions at two London-based financial advisory firms.

Originally Published:

Friday, August 16, 2013

ASIC permanently bans Queensland financial adviser

ASIC permanently bans former financial adviser after finding he provided inappropriate and unreasonable advice

Originally Published:

Friday, August 16, 2013

Regulators issue advisory on business continuity and disaster recovery planning

Regulatory authorities release joint advisory on business continuity and disaster recovery planning

Originally Published:

Friday, August 16, 2013

One More Time: The Ongoing Investment Review of Smithfield-Shuanghui

Originally Published:

Friday, August 16, 2013

CFIUS announces further 45 day investigation of potential 'national security' issues inherent in the proposed Smithfield-Shuanghui agribusiness takeover.

Adviser numbers in line with expectations

FCA figures reveal number of retail investment advisers is within range predicted following implementation of standards under Retail Distribution Review (RDR).

Originally Published:

Thursday, August 15, 2013

Joint Forum publishes reports on longevity risk and point of sale disclosure

Joint Forum releases consultative reports on longevity risk transfer markets and Point of Sale disclosure

Originally Published:

Thursday, August 15, 2013

APRA releases letter to proposed Level 3 groups

APRA has released a letter to potential Level 3 groups in response to practical constraints preventing effective implementation of the Level 3 framework by 1 January 2014.

Originally Published:

Wednesday, August 14, 2013

APRA releases technical guidance on the FCS

APRA has issued technical guidance to ADIs on their compliance with the requirements of APS 910.

Originally Published:

Wednesday, August 14, 2013

APRA releases letter to ADIs, general insurers and life companies

APRA has released a letter in response to practical constraints preventing effective implementation of CPS 220 standards by the originally proposed date of 1 January 2014.

Originally Published:

Wednesday, August 14, 2013

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