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Results for news from the Financial Times about Tax-Law-Regula-Court-Settl
Page 2 of 113 news found.
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Clearing Amp Settlement
LME plans to raise fees by a third
Owner HKEx seeks to make acquisition pay off
Mon, 29 Sep 2014 10:39:17 GMT

Markets Regulation
Forex industry fights back with its own lobby group
Forex industry fights back with its own lobby group
Fri, 26 Sep 2014 09:26:01 GMT

Markets Regulation
Wells Fargo brokerage arm fined $5m
Internal compliance groups responsible for ensuring brokers did not abuse customers’ confidential information ‘ultimately failed to act, the SEC said
Mon, 22 Sep 2014 21:59:43 GMT

Clearing Amp Settlement
LME opens its first clearing house
The £50m clearing house project is intended to underpin the bourse’s tilt at opening Chinese markets and is a key part of parent HKEx’s strategy plans
Sun, 21 Sep 2014 13:35:09 GMT

Regulation Amp Governance
Finra shines light into dark pools
US agency has approved plans that seek higher levels of transparency and disclosure, moves that follow sweeping reforms from the SEC
Fri, 19 Sep 2014 20:11:56 GMT

Markets Regulation
Australia and Singapore sign data pact
Australia and Singapore have agreed to allow their regulators mutual access to trading data, in the first attempt globally to allow sharing of such data to help avoid another financial crisis
Wed, 17 Sep 2014 12:25:19 GMT

Markets Regulation
Regulators probe shadows
Alternative trading systems are causing concern around the world
Mon, 15 Sep 2014 23:07:08 GMT

Scotland after the vote: tax
What ‘Yes’ or ‘No’ would mean for Scottish taxpayers, who face changes to their tax regime as a result of devolution of powers
Fri, 12 Sep 2014 17:02:50 GMT

Clearing Amp Settlement
Clearers told to build bigger buffers
Current system for dealing is brittle and opaque, and requires a new resolution framework to tackle major failures, says JPMorgan Chase
Wed, 10 Sep 2014 23:18:42 GMT

Clearing Amp Settlement
‘Savings of €70m’ in switch to T2S
Banks and brokers have been urged to urgently adapt their European post-trade infrastructure to the region’s new settlement system
Mon, 08 Sep 2014 18:15:00 GMT

Markets Regulation
UK set to license Chinese bank branch
ICBC, China’s biggest lender, is expected to be granted permission to set up in London, following months of talks between regulators
Fri, 05 Sep 2014 18:12:01 GMT

Markets Regulation
Banks face lawsuit over Isdafix claims
Fresh allegations open up a new litigation front for 14 institutions and follow a string of damages claims over allegations of rigging Libor
Fri, 05 Sep 2014 12:45:45 GMT

Regulation Amp Governance
European fund houses fear SEC’s reach
The US regulator is increasing oversight of fund groups that are registered to conduct business in the US, even if they are regulated elsewhere
Sun, 31 Aug 2014 07:31:50 GMT

Regulation Amp Governance
Big Four accountants hedge bets amid wave of regulations
Global accountants step up their services advising hedge funds as they seek to capitalise on a sector mired in increasingly complex rules
Sun, 24 Aug 2014 12:01:31 GMT

Regulation Amp Governance
Challenge to lift BofA revenues after fines
Chief executive must plot new course after $16.65bn settlement with the DoJ mark an end to the bank’s major known crisis-era mortgage litigation
Thu, 21 Aug 2014 17:11:05 GMT

Markets Regulation
Banks hire anti-money laundering experts
The number of new jobs within UK banks’ anti-money laundering teams has jumped by 54 per cent in the last year
Sun, 17 Aug 2014 23:02:06 GMT

Markets Regulation
S Korea to double stock trading limit
Seoul to permit shares traded on main board to rise or fall by up to 30% from their previous close, as part of efforts to revitalise financial sector
Tue, 12 Aug 2014 04:50:29 GMT

Regulation Amp Governance
Asset managers may escape systemic label
Regulators may lift a threat hanging over groups like BlackRock and Fidelity but will still review what risk the Industry poses to stability
Thu, 31 Jul 2014 15:15:24 GMT

Regulation Amp Governance
London asset manager takes UBS to court
Decura claims the Swiss bank’s 2012 restructuring badly damaged a joint venture between the two. The proceedings could cost UBS $100m
Sun, 27 Jul 2014 07:23:40 GMT

Markets Regulation
O’Malia to take helm at Isda
Scott O’Malia, former commissioner at the main regulator of the US swaps industry, will become head of the leading global derivatives group
Wed, 23 Jul 2014 04:02:16 GMT

Markets Regulation
Barclays ‘dark pool’ trades dry up
Bank falls from second to 12th place in terms of volumes traded in US dark pools as clients flee in wake of US lawsuit over high frequency activity
Mon, 21 Jul 2014 18:07:45 GMT

Clearing Amp Settlement
ECB set for court clash with UK over clearing
Britain is concerned that the central bank’s rule to have clearing houses decamp operations to the eurozone for euro transactions would damage the City
Wed, 09 Jul 2014 04:09:23 GMT

Markets Regulation
Rajaratnam’s brother acquitted by jury
Acquittal is first loss by US attorney’s office in Manhattan, which has had an unprecedented 80-0 record of convictions of individuals for insider trading since Preet Bharara took over in 2009
Tue, 08 Jul 2014 20:20:24 GMT

Markets Regulation
ICE prepares deeper reform of Libor
Derivatives exchange operator asks banks that submit Libor rates for more internal transaction data and starts testing system to validate submissions
Tue, 08 Jul 2014 11:21:00 GMT

Markets Regulation
Goldman Sachs fined in dark pool debacle
The fine levelled by the Financial Industry Regulatory Authority comes amid heightened scrutiny around the US share trading industry
Tue, 01 Jul 2014 16:48:56 GMT

Markets Regulation
Europe urges US to recognise overseas clearing rules
European Commission says it will recognise US rules that oversee clearing houses if the CFTC is flexible for foreign risk management houses
Sat, 28 Jun 2014 11:34:18 GMT

Markets Regulation
Banks start to drain Barclays dark pool
Deutsche and Credit Suisse are among institutions withdrawing business after New York’s attorney-general alleged the UK bank misled investors
Thu, 26 Jun 2014 18:13:27 GMT

Markets Regulation
Brussels looks at levy to fund watchdogs
European Commission review also considers new responsibilities for supervisors as part of a broader regulatory rethink
Tue, 24 Jun 2014 10:40:19 GMT

Clearing Amp Settlement
Rules push on clearing poses risk to banks
Centralised system could raise liquidity demands, LSE study finds
Wed, 18 Jun 2014 11:55:29 GMT

Regulation Amp Governance
Fed looks at exit fees on bond funds
Officials fear way investors can withdraw money on demand even though the assets of their funds are long-term debt and can be hard to sell in a crisis
Mon, 16 Jun 2014 18:35:47 GMT

Regulation Amp Governance
Brokers’ dealing commissions unbroken
A regulatory crackdown on asset managers’ use of investors’ money has so far failed to cut the flow of commission payments
Sun, 15 Jun 2014 03:47:03 GMT

Markets Regulation
UKLA’s Quindell ruling was tough but fair
The blocking of software consultancy Quindell’s move to the main market left investors frustrated but regulators are right to impose strict standards
Fri, 13 Jun 2014 16:59:42 GMT

Markets Regulation
Osborne to toughen rules on market abuse
The chancellor plans to make manipulation of foreign exchange, fixed income and commodities benchmarks a criminal offence
Wed, 11 Jun 2014 21:32:30 GMT

Asia-Pacific Innovative Lawyers
Partnerships aid global investigations
One-upmanship among local regulators has been replaced by co-ordination
Wed, 11 Jun 2014 16:01:08 GMT

Markets Regulation
EU charges ICAP over yen Libor cartels
Decision follows a similar move by antitrust body against a trio of banks over manipulating the Euribor interest rate benchmark
Tue, 10 Jun 2014 14:02:44 GMT

Markets Regulation
SEC exercises its muscle over ‘dark pools’
Liquidnet and Wedbush are subject to action over controls
Fri, 06 Jun 2014 18:28:07 GMT

Markets Regulation
Massad confirmed as new CFTC chairman
Senators clear path for Massad, Bowen and Giancarlo to join the derivatives regulator’s board after nearly a year of gaps in its top team
Tue, 03 Jun 2014 22:55:08 GMT

Regulation Amp Governance
New rules and unintended consequences
Rules that stamp out abuses can create new areas for dangerous behaviour and endow hitherto unheralded players with great power
Sun, 01 Jun 2014 12:45:42 GMT

Markets Regulation
Icahn, Mickelson and Walters ‘face probe’
Probe into whether Mickelson and Walters may have traded illegally on information provided by Icahn, a source told Reuters, the agency said
Sat, 31 May 2014 01:12:47 GMT

Regulation Amp Governance
New accounting rule a boost for investors
Revenue standard published by US and European regulators aims to make it easier to compare companies’ sales around the world
Wed, 28 May 2014 17:33:44 GMT

Markets Regulation
FTC calls for clampdown on data brokers
Agency wants Congress to pass legislation to establish a centralised portal so consumers can find data brokers and access information being collected
Tue, 27 May 2014 19:19:19 GMT

Fraudsters face stiffer penalties
Sentences must reflect victim impact
Fri, 23 May 2014 16:44:56 GMT

Markets Regulation
Germany brings in new rules for grey capital market
Tougher scrutiny imposed on corporates that seek funding from retail investors rather than banks with rules on prospectuses and advertising
Thu, 22 May 2014 18:20:46 GMT

Clearing Amp Settlement
LSE to allow clearing on EuroCCP
London bourse is most significant of Europe’s big incumbent exchanges to open trade feeds to EuroCCP and could cut overall costs of share dealing for big market participants
Tue, 20 May 2014 23:15:21 GMT

Markets Regulation
Finra to advance data collection plan
The agency’s plan has sparked alarm among brokers, who have complained about privacy concerns, data security and the costs of compliance
Sun, 18 May 2014 21:38:08 GMT

Clearing Amp Settlement
RBS to wind down swaps clearing unit
Move marks a further retreat from investment banking services, as the UK-government controlled lender continues to deleverage its balance sheet
Sun, 18 May 2014 18:31:41 GMT

Markets Regulation
FCA set to fine UK group in Libor case
Interdealer broker RP Martin has agreed a settlement with the UK’s Financial Conduct Authority, which is expected to be announced as soon as Thursday
Wed, 14 May 2014 10:21:59 GMT

Clearing Amp Settlement
CME ties up with settlement businesses
Links with SIX Group and BNY Mellon spurred by tough new trading rules that stipulate the initial margin for derivatives trades be held in securities settlement systems
Mon, 12 May 2014 16:37:34 GMT

Clearing Amp Settlement
Bank rules on clearing face delay
The European Commission wants to push back the June deadline applying higher capital rules for banks’ exposures to non-qualifying clearing houses
Thu, 08 May 2014 11:47:44 GMT

Markets Regulation
Regulators see new threat to stability
Non-bank mortgage servicers and the asset management industry pose a potential risk to the financial system, according to a new report
Wed, 07 May 2014 20:38:47 GMT

Results for news from the Financial Times about Tax-Law-Regula-Court-Settl
Page 2 of 113 news found.
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