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Policies & Regulatory Compliance News

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1-15 of 383 results
SEC fines three investment advisers over breaching fiduciary duties
By BBR Staff Writer
The US Securities and Exchange Commission (SEC) has imposed a fine of $15m on three investment advisers over breaching fiduciary duties and raising improper fees from the clients
Policies & Regulatory Compliance > News
Barclays agrees to pay $2bn to settle mortgage probes in US
By BBR Staff Writer
UK-based Barclays Capital has signed an agreement with the US Department of Justice (DoJ) to pay $2bn to settle claims related to its residential mortgage-backed securities (RMBS).
Policies & Regulatory Compliance > News
ABN AMRO selects Wolters Kluwer and SAS for regulatory compliance project
The Netherlands-based ABN AMRO has selected Wolters Kluwer and SAS to offer an integrated finance, risk and regulatory reporting software solution.
Policies & Regulatory Compliance > News
Financial Conduct Authority bans ex Co-operative Bank chair from industry
By BBR Staff Writer
The UK’s Financial Conduct Authority (FCA) has imposed a ban on former Co-operative Bank chair Paul Flowers from the financial services industry.
Policies & Regulatory Compliance > News
New banking rules come into force in UK
The UK's Competition and Markets Authority (CMA) has introduced new rules, which requires banks to warn people before they slip into overdraft.
Policies & Regulatory Compliance > News
HSBC to pay over $100m to settle financial fraud charges in US
By BBR Staff Writer
HSBC has agreed to pay over $100m to settle financial crime charges in the US.
Policies & Regulatory Compliance > News
RegTechs to join Accenture's FinTech Innovation Lab London
RegTechs, start-ups providing technology solutions for regulatory challenges of financial firms regulatory challenges, will join Accenture’s sixth FinTech Innovation Lab London in their own dedicated stream for the first time this year.
Policies & Regulatory Compliance > News
FINRA fines J.P. Morgan Securities over customer protection rule violations
By BBR Staff Writer
The Financial Industry Regulatory Authority (FINRA) has imposed a fine of $2.8m on J.P. Morgan Securities over customer protection rule violations and supervisory failures.
Policies & Regulatory Compliance > News
UK’s FCA fines Former Bank of America bond trader over market abuse
By BBR Staff Writer
The UK’s Financial Conduct Authority (FCA) has imposed a £60,090 fine on former America Merrill Lynch International’s (BAML) bond trader Paul Walter for involving in market abuse.
Policies & Regulatory Compliance > News
Atom Bank secures permission to offer retail deposits in Germany
UK-based digital finance company Atom Bank has secured approval to provide retail deposits in Germany.
Policies & Regulatory Compliance > News
MAS’ Payments Council Taskforce to develop common QR code for Singapore
The Payments Council, which was established by the Monetary Authority of Singapore (MAS) recently, has set up industry taskforce to develop a common Quick Response (QR) code for Singapore (SGQR).
Policies & Regulatory Compliance > News
Hackers breach 400,000 UniCredit bank accounts
UniCredit’s data related to 400,000 loan applicants was hacked by unknown attackers.
Policies & Regulatory Compliance > News
RBS agrees to pay $5.5bn to settle US mortgage probe
Royal Bank of Scotland (RBS) has agreed to pay $5.5bn to settle probes related to the firm’s sale of mortgage-backed securities in the US.
Policies & Regulatory Compliance > News
Redwood submits banking licence application to UK authorities
Acorn Financial Partners, a new venture founded and led by Jonathan Rowland, announced that it has submitted a banking licence application to the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA).
Policies & Regulatory Compliance > News
Amicus applies for banking licence in UK
Amicus Finance announced that it has submitted a banking licence application to the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA).
Policies & Regulatory Compliance > News
1-15 of 383 results