Log in or Register for enhanced features | Forgotten Password?
White Papers | Suppliers | Events | Report Store | Companies | Dining Club | Videos

Policies & Regulatory Compliance
Return to: BBR Home | Policies & Regulatory Compliance | News
Search Refinements

Policies & Regulatory Compliance News

View news from other Banking sectors:
121-135 of 383 results
SEC starts alternative mutual funds examination
The US Securities and Exchange Commission (SEC) has reportedly started a broad examination of alternative mutual funds that are offered to small investors.
Policies & Regulatory Compliance > News
SEC files securities fraud charges against Kansas
By BBR Staff Writer
The Securities and Exchange Commission announced securities fraud charges against the state of Kansas stemming from a nationwide review of bond offering documents to determine whether municipalities were properly disclosing material pension liabilities and other risks to investors.
Policies & Regulatory Compliance > News
Blackstone, KKR and TPG reach settlement on collusion case
By BBR Staff Writer
Blackstone Group, KKR and TPG Capital have reportedly agreed to settle charges that they conspired to suppress competition in some of the biggest buyout deals before the financial crisis.
Policies & Regulatory Compliance > News
BofA, DoJ close to residential mortgage disputes settlement
By BBR Staff Writer
Bank of America (BofA) is reportedly close to signing a $16bn to $17bn agreement with the US Department of Justice (DoJ) to resolve the long-running defective residential-mortgage-securities sale investigation.
Policies & Regulatory Compliance > News
FCA imposes temporary ban on CoCos sale to mass retail market
By BBR Staff Writer
The UK Financial Conduct Authority (FCA) has implemented a one-year ban on the distribution of contingent convertible securities (CoCos) to the mass retail market.
Policies & Regulatory Compliance > News
Hungary Central Bank fines local banks for unlawful services fees change
By BBR Staff Writer
The Central Bank of Hungary has fined a total of 58 regional banks and credit institutions for alleged malpractices.
Policies & Regulatory Compliance > News
EC clears Banco Espirito’s state resolution plan
By BBR Staff Writer
The European Commission (EC) has approved the multibillion-euro state resolution plan of the troubled Portuguese lender Banco Espirito Santo (BES).
Policies & Regulatory Compliance > News
BofA fined $1.3bn over mortgage loans fraud
By BBR Staff Writer
A New York state judge has imposed around $1.3bn in penalties to Bank of America (BofA) for fraud over a loan production program by its unit, Countrywide Financial.
Policies & Regulatory Compliance > News
Bank of England plans to take back bonuses from rule-breaking bankers
By BBR Staff Writer
Bank of England (BoE) is set to reveal a new plan, under which it aims to punish rule-breaking bankers by taking back bonuses, which were awarded as far as seven years ago and which have been cashed and spent.
Policies & Regulatory Compliance > News
Lloyds to pay £218m to settle LIBOR and BBA repo rate issues
By BBR Staff Writer
Lloyds Banking Group (LBG) has reached £218m agreement with the US and UK regulators to settle the manipulation charges of the British Bankers’ Association (BBA) London Interbank Offered Rate (LIBOR) and Sterling Repo Rate.
Policies & Regulatory Compliance > News
Societe Generale Wolters Kluwer’s risk management and regulatory reporting solution
By BBR Staff Writer
Wolters Kluwer Financial Services announced that one of the largest European financial services groups, Société Générale Private Banking, has selected its Risk Management and Regulatory Reporting solution to help facilitate compliance with the Capital Requirements Directive IV in Belgium.
Policies & Regulatory Compliance > News
Citigroup unit fined by SEC for fradulent ATS operation
By BBR Staff Writer
Citigroup business unit LavaFlow has been charged by the US Securities and Exchange Commission (SEC) over failure to protect confidential subscriber data while operating alternative trading system (ATS).
Policies & Regulatory Compliance > News
Goldman Sachs likely to pay $1.25bn for mortgage settlement
By BBR Staff Writer
Goldman Sachs Group may end up paying up to $1.25bn to US regulators to settle allegations of selling faulty residential mortgage-backed securities (RMBS) to Fannie Mae and Freddie Mac in lead up to the financial crisis.
Policies & Regulatory Compliance > News
Lloyds likely to pay up to £300m to settle Libor rigging probe
By BBR Staff Writer
Lloyds Banking Group has reportedly agreed to pay up to £300m to US and UK regulators to settle an investigation into its alleged attempts to manipulate the London Interbank Offered Rate (LIBOR).
Policies & Regulatory Compliance > News
Morgan Stanley to pay $275m to settle SEC RMBS probe
By BBR Staff Writer
Morgan Stanley has agreed to pay $275m to settle allegations that its entities misled investors in a pair of residential mortgage-backed securities (RMBS) securitization.
Policies & Regulatory Compliance > News
121-135 of 383 results