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Policies & Regulatory Compliance News

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91-105 of 377 results
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
US Court of Appeals upholds $203m fine on Wells Fargo Bank
By BBR Staff Writer
The US Court of Appeals for Ninth Circuit has upheld the decision of district judge William Alsup over $203 fine imposed on Wells Fargo Bank for deceiving customers.
Policies & Regulatory Compliance > News
Bank Leumi to pay $300m to New York DFS to resolve US tax evasion probe
By BBR Staff Writer
The New York State's Department of Financial Services (DFS) is reportedly seeking more than $300m in penalty from Bank Leumi to resolve probe into its alleged role in possible tax evasion by its US clients.
Policies & Regulatory Compliance > News
FINRA penalises two Merrill Lynch divisions over Regulation SHO violations
By BBR Staff Writer
Two Merrill Lynch divisions were censured and fined a total of $6m by the Financial Industry Regulatory Authority (FINRA) for violation of Regulation SHO and supervisory failures.
Policies & Regulatory Compliance > News
Alibaba gets clearance to open private bank in China
By BBR Staff Writer
The China Banking Regulatory Commission (CBRC) has given clearance to e-commerce giant Alibaba to set up a new private bank in the country.
Policies & Regulatory Compliance > News
Federal Bank questions banks' moves to cut hedge-fund taxes
By BBR Staff Writer
Large banks generate more than $1 billion a year in revenue by helping hedge funds and other clients reduce taxes through a complicated trading strategy that has drawn criticism from U.S. authorities.
Policies & Regulatory Compliance > News
EBA plans to act on banks that violate bonus cap
By BBR Staff Writer
European Union banking watchdog European Banking Authority (EBA) is reportedly planning to take action on banks that pay cash allowances sidestepping its bonus cap initiative.
Policies & Regulatory Compliance > News
91-105 of 377 results