Refine your search
1,111 results found
Shearn Delamore & Co | Malaysia | 17 Oct 2023
Supplementary Guidelines on Standards of Certification of Labuan Financial Advisors
The Labuan Financial Services Authority recently issued Supplementary Guidelines to complement the Guidelines on Insurance Broker. The Supplementary Guidelines serve as guidance on the professional certification and development programme for appointed representatives of Labuan life insurance broking companies carrying on client advising and/or client-facing activities.
Phoenix Legal | India | 10 Oct 2023
Regulatory framework for online bond platforms: welcome development or over-regulation?
The Securities and Exchange Board of India (SEBI) has always had a watchful eye on the growing proliferation of fintech companies in every corner of the consumer-facing side of the financial sector. Recently, SEBI issued a consultation paper that noted the growth in online bond platforms, which offer access to bonds and trading to non-institutional investors. These platforms, however, were......
European Union, United Kingdom | 6 Jul 2023
FCA proposes “white whale” consolidated tape and trading venue perimeter guidance
The UK’s Financial Conduct Authority is taking measures to amp up the country’s wholesale markets, including introducing a consolidated tape and issuing a guidance on the trading venue perimeter, its first formal actions since being handed a formal competitiveness objective in the recent Financial Services and Markets Act.
Lexology PRO | Asia-Pacific, Belgium, European Union, etc. | 28 May 2021
EU readopts ICAP cartel decision but cuts fine
The European Commission has readopted its decision against ICAP for its alleged role in a conspiracy to manipulate the market for yen interest rate derivatives but slashed the fine it imposed on the broker by €8 million.
Steptoe & Johnson LLP | USA | 20 Dec 2018
UBS Financial Services Agrees to Pay $14.5 Million to Resolve Anti-Money Laundering Violations
On December 17, 2018, the Financial Crimes Enforcement Network (“FinCEN”) announced that UBS Financial Services, Inc. (“UBS”) had entered into a…
Thorsteinssons LLP | Canada | 14 Dec 2018
TFSA advantage tax: heads CRA wins, tails you lose
Earnings within tax-free savings accounts (TFSAs) and other tax-deferred plans are, in principle, supposed to grow tax free. However, some taxes still apply, including the advantage tax which applies at the rate of 100% of any 'advantage' (as defined in the Income Tax Act). This tax has become one of the Canada Revenue Agency's favourite tools to effectively expropriate what it views as......
Hill Dickinson | United Kingdom | 16 Nov 2018
Hindsight not such a great thing
Whilst hindsight is usually extremely beneficial in many aspects of life, not so when it comes to considering implied terms…
Bressler, Amery & Ross PC | USA | 7 Nov 2018
11th Circuit Denies Access to FINRA Arbitration where Dispute did not Arise out of the FINRA Member's Business Activities
The Eleventh Circuit's latest arbitration-related decision is a brush-back of the claimants securities bar's efforts to extend the breadth of who can…
Davies Ward Phillips & Vineberg LLP | Canada | 15 Oct 2018
Obey or Pay: OSC Warns Off-Shore, Unregistered Trading Platforms Offering Securities to Ontario Investors
The Ontario Securities Commission (OSC) recently approved a settlement agreement with eToro (Europe) Limited (eToro), a Cyprus-based brokerage firm…
Bressler, Amery & Ross PC | USA | 9 Oct 2018
Statutory Employment Discrimination Claims Compelled to Arbitration Pursuant to Brokerage Firm's Mandatory Arbitration Program
While brokerage industry rules traditionally exempt statutory employment discrimination claims from otherwise…
