FCA backs increased cost disclosure for Private Equity and Real Estate Managers
[Friday, 10 August 2018]
[Tuesday, 7 August 2018]
Augentius Client News – FSCS Levy Regulatory Alert
[Tuesday, 7 August 2018]
Augentius appoints new Chairman to capitalise on compliance services growth
[Friday, 27 April 2018]
FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings
[Thursday, 28 December 2017]
A statement of the FCA on EU withdrawal
[Wednesday, 20 December 2017]
ESMA issued a statement to support the smooth implementation of LEIs
[Wednesday, 20 December 2017]
ESMA has published further guidance on third country post-trade transparency and position limit opinions
[Friday, 15 December 2017]
The FCA published proposals on how firms will move to the Senior Managers and Certification Regime
[Wednesday, 13 December 2017]
Policy Statement on Financial Advice Market Review Implementation Part II and Consultation on Retiring FG12/15 and FG14/1
[Friday, 8 December 2017]
CMA proposes Annual Plan for 2018
[Monday, 4 December 2017]
Four guilty in relation to 1.4m unauthorised investment scheme
[Friday, 1 December 2017]
Financial regulator issues statement of objection to four asset management firms
[Wednesday, 29 November 2017]
Bond trader of Merrill Lynch receives penalty for market abuse
[Wednesday, 22 November 2017]
FCA publishes guide to completing application to cancel firm’s authorisation
[Friday, 17 November 2017]
FCA speech on effective compliance
[Tuesday, 14 November 2017]
MiFID II and MiFIR: updated version of Investor Protection Q&A
[Friday, 10 November 2017]
The FCA consults on extending FCA principle 5 of the Industry Codes
[Friday, 3 November 2017]
FCA perspective on Robo Advice
[Thursday, 2 November 2017]
The SEC issues no-action relief to comply with MiFID II research rules
[Thursday, 26 October 2017]
Merrill Lynch failed to report transactions
[Monday, 23 October 2017]
The FCA fined Rio Tinto plc for breaching Disclosure and Transparency Rules
[Tuesday, 17 October 2017]
FCA launches Authorisation Hub
[Monday, 16 October 2017]
ESMA has published a briefing note on LEIs
[Monday, 9 October 2017]
CEO used secret accounts for insider trading
[Wednesday, 20 September 2017]
Warning for investors against unauthorised use of ESMA’s identity and logo
[Wednesday, 13 September 2017]
Consultation on proposed amendments to the FCA Handbook
[Friday, 1 September 2017]
Wide reaching insider trading scheme uncovered
[Wednesday, 16 August 2017]
New updates on MiFID II guidelines on transaction reporting
[Tuesday, 8 August 2017]
The Financial Conduct Authority opens consultation on client money and unbreakable deposits
[Tuesday, 1 August 2017]
New proposals on Senior Managers & Certification Regime (SM&CR)
[Wednesday, 26 July 2017]
£350,000 confiscation order against convicted insider dealer
[Monday, 24 July 2017]
The FCA fines compliance oversight officer
[Friday, 14 July 2017]
Final consultation paper on Markets in Financial Instruments Directive II (MiFID II)
[Monday, 3 July 2017]
Final Report on Asset Management market study
[Wednesday, 28 June 2017]
The Information Commissioner’s Office (ICO) warns Small and Medium sized business (SME’s) on cyber attacks
[Tuesday, 27 June 2017]
Brokerage Firm failed to comply with Anti-Money Laundering Rules
[Monday, 5 June 2017]
The European Securities and Markets Authority (“ESMA”) issues an opinion on relocations of UK financial market participants
[Wednesday, 31 May 2017]
“Operation Cotton” leads to 8 convictions for their role in an unauthorised collective investment scheme
[Wednesday, 24 May 2017]
Final changes to FCA handbook on remuneration in CRD IV firms
[Wednesday, 3 May 2017]
Over half a million dollars for Whistleblower
[Tuesday, 2 May 2017]
4 Million dollars for Whistleblower
[Tuesday, 25 April 2017]
New rate proposals of the FCA regulated fees and levies
[Tuesday, 18 April 2017]
Firms have to apply for MiFID II authorisation
[Friday, 31 March 2017]
FINRA introduces new rules to protect the financial exploitation of senior investors.
[Thursday, 30 March 2017]
SEC warns overseas traders on US insider trading laws
[Friday, 24 March 2017]
FCA’s Guidance Consultation Treatment of politically exposed persons (PEPs) under the Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017
[Thursday, 16 March 2017]
UK Tightens Defences against Money Laundering
[Wednesday, 15 March 2017]
The SEC Charges Firms Involved in Layering, Manipulation Schemes
[Friday, 10 March 2017]
The Senior Managers and Certification Regime one year on
[Tuesday, 7 March 2017]
Firms fail to meet FCA’s expectations on their use of dealing commission
[Friday, 3 March 2017]
The FCA alerts Investment Managers who fail to ensure best execution
[Friday, 3 March 2017]
Agile access for investors to exhibits in Company Filings
[Wednesday, 1 March 2017]
Open FCA consultations on changes to equity IPO process
[Wednesday, 1 March 2017]
The BVCA is Pushing Back on Too Rigid Reporting Rules
[Monday, 27 February 2017]
Purported Real Estate Investment Manager Settles the SEC’s Fraud Charges
[Tuesday, 14 February 2017]
FCA reviews effectiveness of UK primary capital markets
[Tuesday, 14 February 2017]
The FCA’s information request on Principals and Appointed Representatives in the Investment Management Sector
[Tuesday, 14 February 2017]
The SEC has charged Chinese Citizens over Insider Trading Case
[Friday, 10 February 2017]
The FCA opens discussion on open-ended funds investing in illiquid assets
[Wednesday, 8 February 2017]
Investment Adviser Charged with Stealing Investor Funds by the SEC
[Thursday, 2 February 2017]
Deutsche Bank fined £163 million by the FCA for serious anti-money laundering controls failings
[Tuesday, 31 January 2017]
OFSI’s Consultation on Imposing Monetary Penalties for Breaches of Financial Sanctions
[Thursday, 26 January 2017]
BlackRock to Pay Penalty for Removing Whistleblower Incentives in Separation Agreements
[Tuesday, 17 January 2017]
FCA Guide to Applications and notifications under MiFID II
[Friday, 13 January 2017]
Two sentenced in insider dealing case
[Friday, 13 January 2017]
BNY Mellon to pay a $6.6 Million Penalty to Settle the SEC Charges
[Thursday, 12 January 2017]
The SEC Announces its 2017 Examination Priorities
[Thursday, 12 January 2017]
SEC Charges, December 2016
[Thursday, 22 December 2016]
Equity Portfolio Manager sentenced to 12 months imprisonment for insider dealing
[Wednesday, 21 December 2016]
The FCA has published its fourth MiFID 2 Consultation Paper
[Friday, 16 December 2016]
Co-operation Agreement between the FCA and the Hong Kong Monetary Authority
[Wednesday, 7 December 2016]
The FCA published decision notice against Chief Executive of TailorMade Independent Limited
[Thursday, 1 December 2016]
Two Plead Guilty to Insider Dealing
[Wednesday, 30 November 2016]
Investment Adviser Charged by SEC over Fraudulently Overbilled Clients
[Sunday, 27 November 2016]
The FCA has published the interim findings of its asset management market study
[Friday, 18 November 2016]
British “Flash Crash” Trader Pleads Guilty to Fraud in U.S.
[Thursday, 10 November 2016]
Former BlackRock Manager Pleads Guilty to Insider Dealing
[Wednesday, 2 November 2016]
The FCA prohibits six individuals for their part in unauthorised collective investment scheme
[Tuesday, 1 November 2016]
The FCA consults on its Mission
[Wednesday, 26 October 2016]
The FCA cancels payday lender’s interim permission, bans director and refuses application to conduct regulated business
[Thursday, 13 October 2016]
The SEC charged hedge fund firm and supervisor with failing to prevent insider trading
[Thursday, 13 October 2016]
The FCA imposes penalties on Sonali Bank and its former money laundering reporting officer over serious anti-money laundering systems failings
[Wednesday, 12 October 2016]
The FCA fines Aviva £8.2m for Client Money and Assets failings
[Wednesday, 5 October 2016]
Augentius named Best Specialist Fund Services Solution
[Tuesday, 4 October 2016]
The FCA has published Discussion Paper on firms’ legal function under the Senior Managers Regime
[Monday, 3 October 2016]
Government’s consultation on amending the definition of financial advice
[Saturday, 1 October 2016]
The FCA charged former investment portfolio manager with insider dealing
[Thursday, 29 September 2016]
The FCA published third MiFID II consultation paper
[Thursday, 29 September 2016]
The SEC Charges Hedge Fund Manager with Insider Trading
[Wednesday, 21 September 2016]
The FCA published a Decision Notice for former Barclays Wealth senior director
[Wednesday, 14 September 2016]
Wells Fargo fined $185 million over unauthorised accounts
[Thursday, 8 September 2016]
The FCA fines and prohibits financial adviser for repeatedly lying to the regulator
[Thursday, 1 September 2016]
Apollo to pay $53m to settle SEC charges
[Tuesday, 23 August 2016]
FCA alerts on accepting business from unauthorised introducers
[Tuesday, 2 August 2016]
FCA publishes its second consultation on MiFID II
[Monday, 1 August 2016]
FCA introduces the new financial crime reporting
[Monday, 1 August 2016]
FCA’s thematic review on principals and their appointed representatives
[Monday, 1 August 2016]
ESMA Advises on Extension of Funds Passport to 12 Non-EU Countries
[Tuesday, 19 July 2016]
Jersey resident fined, publicly censured and ordered to pay restitution for insider dealing
[Friday, 15 July 2016]
SEC Proposes Rule Requiring Investment Advisers to Adopt Business Continuity and Transition Plans
[Thursday, 14 July 2016]
Compliance – Doing The Right Thing Is No Longer Enough
[Monday, 11 July 2016]
FCA issues guidance following property fund suspensions
[Friday, 8 July 2016]
Former Barclays traders found guilty and jailed for LIBOR fraud
[Thursday, 7 July 2016]
EU Commission proposes anti-money laundering directive amendments
[Tuesday, 5 July 2016]
ESMA Issues Opinion On Inside Information Disclosure Under The MAR
[Friday, 17 June 2016]
FCA Charge Five In Alleged Investment Fraud
[Thursday, 16 June 2016]
Private Fund Administrator Pays $350k To Settle SEC Charges
[Thursday, 16 June 2016]
Former Schroders Trader Sentenced For Insider Dealing
[Monday, 13 June 2016]
FSB publishes Proposed Policy Recommendations to Address Structural Vulnerabilities from Asset Management Activities
[Sunday, 12 June 2016]
FCA Bans Two Individuals For Lack Of Integrity
[Thursday, 9 June 2016]
European Commission Publishes Consultation on Cross-Borders Fund Distribution
[Thursday, 2 June 2016]
SEC Charges Private Equity Adviser For Acting As Unregistered Broker
[Wednesday, 1 June 2016]
What Changes occurred to MiFID II in May?
[Monday, 30 May 2016]
The FCA has banned Peter Johnson, former compliance officer of Keydata
[Thursday, 19 May 2016]
The Capital Markets Union, supervisory convergence and asset management
[Wednesday, 18 May 2016]
Office of Financial Sanctions Implementation created to help UK businesses comply with financial sanctions
[Friday, 13 May 2016]
FCA fines and bans financial adviser for insider dealing
[Friday, 13 May 2016]
Insider dealers convicted and sentenced in Operation Tabernula trial
[Thursday, 12 May 2016]
Extension of the Senior Managers Regime and Certification Regime (SMCR) to asset manager firms
[Wednesday, 4 May 2016]
FCA published its Final Rules on Implementation of the Market Abuse Regulation
[Thursday, 28 April 2016]
The FCA has published their key findings from a thematic review on inducements and conflicts of interest
[Monday, 18 April 2016]
FCA publishes Decision Notice for former UBS LIBOR trader
[Thursday, 14 April 2016]
FCA bans former RBS LIBOR submitter, Paul White
[Tuesday, 12 April 2016]
FCA reminds asset managers of importance of meeting investors’ expectations
[Thursday, 7 April 2016]
Comments on the FCA’s focus on wholesale financial markets in its Business Plan (2016/17)
[Tuesday, 5 April 2016]
ESMA Maintains Market Risk indicator at the highest level
[Thursday, 17 March 2016]
Former equities trader from Schroders Investment Management Limited pleads guilty to insider dealing
[Tuesday, 15 March 2016]
The FCA has published an update on good practice for liquidity management in Investment Firms
[Sunday, 6 March 2016]
The FCA has published a thematic review on assessing suitability; research and due diligence of products and services
[Friday, 4 March 2016]
FCA and PRA statement; compliance with the EBA guidelines on sound Remuneration Policies
[Thursday, 3 March 2016]
FCA bans former Deutsche Bank trader, Michael Ross Curtler, following LIBOR fraud
[Wednesday, 2 March 2016]
‘Are You Complying’ Webinar Slides
[Wednesday, 17 February 2016]
The Financial Conduct Authority has published a Thematic Review paper on the flows of confidential and inside information
[Friday, 18 December 2015]
The Financial Conduct Authority has published Final Rules for the strengthening of accountability in banking: UK branches of foreign banks
[Wednesday, 16 December 2015]
The European Securities and Markets Authority has published a final report on complex debt instruments and structured deposits under MiFID II rules
[Friday, 4 December 2015]
The European Commission has said that the Pan-EU passport for third countries is to be granted in phases
[Tuesday, 1 December 2015]
FCA Bans Magnus Michael Peterson From The Financial Services Industry
[Monday, 26 October 2015]
MiFID II – Wholesale Firms Conference; Summary Review
[Monday, 19 October 2015]
Mr Kweku Mawuli Adoboli Banned From The Financial Services Industry
[Friday, 16 October 2015]
HM Treasury Has Proposed An Extension Of The Senior Managers And Certification Regime To All Sectors Of Financial Services
[Thursday, 15 October 2015]
European Securities And Markets Authority To Expand AIFMD Passporting Reviews To New Jurisdictions
[Tuesday, 13 October 2015]
ESMA Has Published Its 2016 Work Programme
[Wednesday, 7 October 2015]
The FCA And PRA Have Launched A Joint Consultation On Regulatory References
[Tuesday, 6 October 2015]
Scottish Company Found To Be In Breach Of The Bribery Act
[Saturday, 3 October 2015]
The European Commission Has Advanced In Its Plan To Build A Capital Markets Union
[Friday, 2 October 2015]
SEC Issues Sanction To Investment Advisor For Failing To Implement And Adopt Cybersecurity Policies And Procedures
[Thursday, 24 September 2015]
The SEC Has Announced The Second Round Of Cybersecurity Examinations For Broker-Dealers And Investment Advisors, In Addition To Stepping Up Enforcement
[Wednesday, 16 September 2015]
Commissioner Hill Speech On The Next Steps For A Capital Markets Union
[Tuesday, 15 September 2015]
The FCA Has Published Its Quarterly Consultation Number 10
[Monday, 7 September 2015]
The FCA is releasing a new FCA Handbook
[Friday, 28 August 2015]
The FCA has released a statement regarding Quindell Plc.
[Tuesday, 18 August 2015]
ESMA has made recommendations on the EMIR Framework
[Thursday, 13 August 2015]
The FCA has secured a High Court Judgement awarding an injunction and over £7Million in penalties against five defendants for Market Abuse
[Wednesday, 12 August 2015]
ESMA advises on the extension of AIFMD passport to non-EU jurisdictions
[Thursday, 30 July 2015]
The Financial Conduct Authority has banned former Rabobank trader, Lee Stewart, following LIBOR fraud
[Thursday, 30 July 2015]
Strengthening accountability in Banking: Final rules and consultation on extending the Certification Regime to wholesale market activities
[Tuesday, 7 July 2015]
The Financial Conduct Authority has published its 2015/16 regulatory fees and levies Policy Statement: PS15/15
[Thursday, 25 June 2015]
The FCA has fined Asia Resource Minerals Plc. £4.65m for breaching the Listing Rules
[Wednesday, 17 June 2015]
Eight people convicted for roles in unauthorised collective investment scheme
[Monday, 1 June 2015]
ESMA has published a response to the Capital Markets Union Green Paper
[Friday, 22 May 2015]
The European Parliament has adopted the proposed fourth EU anti-Money Laundering Directive
[Wednesday, 20 May 2015]
ESMA has published an updated Q&A on the AIFMD Application
[Wednesday, 13 May 2015]
Market Watch: is the ELTIF a new way for Private Equity to access the Retail markets?
[Friday, 8 May 2015]
The Finance Bill – Changing Tax Rules on “Disguised Management Fees”
[Tuesday, 31 March 2015]
FCA Thematic Review: Asset Management Firms and the Risk of Market Abuse
[Tuesday, 17 March 2015]
[Tuesday, 17 March 2015]
ESMA Publishes Technical Advice on Implementing Measures for Social Entrepreneurship and Venture Capital Funds
[Thursday, 12 March 2015]
Quarterly Consultation, CP 15/08: Summary Run-Down
[Tuesday, 10 March 2015]
European Commission Green Paper: Building a Capital Markets Union
[Tuesday, 3 March 2015]
ESMA Work Programme: AIFMD passport developments overview
[Tuesday, 3 March 2015]
[Wednesday, 25 February 2015]
[Tuesday, 10 February 2015]
Tribunal upholds the Financial Conduct Authority’s decision to censure Arch Financial Products LLP and to fine and ban two of its partners
[Monday, 2 February 2015]
Augentius launches compliance consultancy for alternatives
[Monday, 2 February 2015]
FCA Policy Statement PS14/9: Review of the client assets regime for investment business.
[Monday, 2 February 2015]