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Policies & Regulatory Compliance News

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91-105 of 383 results
Abris to sue Poland for $597m over compulsion to sell FM Bank PBP
By BBR Staff Writer
Polish private equity fund manager Abris Capital Partners is set to lodge a lawsuit against Poland for about Zl2bn ($597m), alleging it will get into losses after it was forced to sell its small local lender FM Bank PBP.
Policies & Regulatory Compliance > News
HSBC agrees to pay $12.5m to settle regulatory charges in US
By BBR Staff Writer
HSBC’s Swiss-based private banking arm will pay $12.5m to settle regulators' charges that it offered investment advice to clients in the US without registering with the Securities and Exchange Commission (SEC).
Policies & Regulatory Compliance > News
UK regulators penalize RBS for 2012 IT incident
By BBR Staff Writer
Royal Bank of Scotland (RBS), National Westminster Bank and Ulster Bank have been ordered to pay £56m fine by the UK regulators over failure to identify and manage their exposure to IT risks.
Policies & Regulatory Compliance > News
Bank of Tokyo Mitsubishi to pay additional $315m fine for misleading US regulators
By BBR Staff Writer
Bank of Tokyo-Mitsubishi UFJ (BMTU) has reached an agreement with New York's Department of Financial Services (NYDFS) to pay an additional $315m fine for misleading regulators over transactions involving countries subject to US sanctions.
Policies & Regulatory Compliance > News
Belgian regulators charge HSBC with help in tax evasion
By BBR Staff Writer
The Belgian prosecutors have accused the Swiss private banking unit of HSBC of aiding wealthy Belgians in evading taxes amounting to hundreds of millions of Euros.
Policies & Regulatory Compliance > News
UK launches consultation on extending stronger standards to all banks
By BBR Staff Writer
The UK government has launched a consultation on proposals to extend new tougher standards for bankers working at UK branches of foreign banks.
Policies & Regulatory Compliance > News
BofA, Citibank and JP Morgan fined for improper FX trading
By BBR Staff Writer
The Office of the Comptroller of the Currency (OCC) has imposed a collective $950m penalty on three US banks over unsafe or unsound practices related to their foreign exchange (FX) trading businesses.
Policies & Regulatory Compliance > News
UK, US regulators penalise banks over FX operations failures
By BBR Staff Writer
The UK Financial Conduct Authority (FCA) has imposed a collective fine of £1.1bn on five banking giants over their failure to control business practices in their G10 spot foreign exchange (FX) trading operations.
Policies & Regulatory Compliance > News
First Trust secures approval to sell exchange-traded funds in Mexico
First Trust Advisors L.P. (First Trust), a global ETF provider and asset manager, has secured approval from Mexican pension funds investment regulator, La Comisión Nacional del Sistema de Ahorro para el Retiro (CONSAR), to sell two of its ETFs for sale to Mexican funded pensions, known as AFORES.
Policies & Regulatory Compliance > News
Financial Stability Board drafts new proposals for resolution of G-SIBs
By BBR Staff Writer
The Financial Stability Board (FSB) is seeking public comments on policy proposals comprising a set of principles and a detailed term sheet on the adequacy of loss-absorbing and recapitalisation capacity of global systemically important banks (G-SIBs).
Policies & Regulatory Compliance > News
Hungarian banks to use official exchange rates for forex loan conversion
By BBR Staff Writer
The Hungarian Economy Ministry has signed an agreement with the Hungarian Bank Association to deal with issues related to forint conversion.
Policies & Regulatory Compliance > News
UK to investigate personal current account and SME banking sectors
By BBR Staff Writer
The UK Competition and Markets Authority (CMA) is set to launch an in-depth market investigation into the personal current account and small and medium sized enterprise (SME) retail banking sectors of the country.
Policies & Regulatory Compliance > News
Indonesia finalizing new roadmap for Islamic finance
By BBR Staff Writer
The Indonesian government is reportedly finalizing a five-year roadmap in a bid to reshape the Islamic finance industry in the country.
Policies & Regulatory Compliance > News
Barclays announces £500m provision for forex manipulation probe
By BBR Staff Writer
British banking and financial services company Barclays has set aside £500m in the third quarter to settle probe into the alleged manipulation of the foreign-exchange (forex) market.
Policies & Regulatory Compliance > News
US reopens probe into Standard Chartered’s role in sanctions violations
By BBR Staff Writer
The US regulators have reopened investigations to determine whether Standard Chartered withheld information regarding dealings with countries sanctioned by the US, including Iran.
Policies & Regulatory Compliance > News
91-105 of 383 results