5 found in the last 3 months
Regulation | 09:26 | 02/02/2017
UK and USA

Deutsche Bank this week has reached settlements with the UK Financial Conduct Authority (FCA) and the New York State Department of Financial Services (DFS). The settlements conclude the FCA and the DFS’s investigations into the bank’s anti-money launderin

Regulation | 18:47 | 30/01/2017

According to a press release, EFAMA welcomes the FSB Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities on 12 January 2017, which come as the result of an extended consultation process in which EFAMA has participated very actively.

Regulation | 07:28 | 25/01/2017
According to AXA IM

The UK Supreme Court rejected the government appeal that it could trigger Article 50 without Parliamentary approval.

Regulation | 09:50 | 16/01/2017
Priips’ draft RTS

Eleven French financial associations, including the French asset management association AFG, have issued a statement regarding the evolution of Priips’ draft regulatory technical standards (RTS).

Regulation | 12:03 | 12/01/2017
Robert W. Cook

Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs. In this year´s letter, Robert W.