Regulation & Tax
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The FCA and industry agree to improve consumer complaints handling 18/11/2014 Financial firms have collaborated with the Financial Conduct Authority (FCA) on a thematic review and have agreed to make improvements to the way consumer complaints are dealt with.
FCA fines Chase de Vere over Keydata products 18/11/2014 The Financial Conduct Authority (FCA) has fined Chase de Vere Independent Financial Advisers (Chase de Vere) £560,000 for failures surrounding the sale of Keydata products.
HSBC charged with tax avoidance for clients by Belgium 18/11/2014 HSBC's Private Bank, based in Switzerland, has been charged with assisting wealthy Belgians in avoid taxes worth hundreds of millions of euros.
Chinese markets open up to investors for the first time 17/11/2014 Analysts mull the significance of Shanghai-Hong Kong Stock Connect, launched today Are fines and compensation payments now ‘normal' business costs for banks and financial institutions? 14/11/2014 Another week and another announcement about the latest set of fines to be levied on big global banks (see thewealthnet 12/11/2014). So far the global banking sector has had to pay around £200 billion in fines and settlement fees according to some estimates for a wide range of misdemeanours over the past six years. FCA fines five banks £1.1 billion for currency dealing failings 12/11/2014 The Financial Conduct Authority has imposed fines totalling £1.1 billion on five leading banks for failing to control business practices in their G10 spot foreign exchange trading operations.
Top 25 Accountancy Firm launches tax newsletter for private banks and family offices 10/11/2014 EY, an eprivateclient Top 25 Accountancy Firm, has launched ‘Wealth Advisers’, a monthly newsletter aimed at private banks, family offices and other wealth advisers that need to be “tax aware” when advising clients.
Hong Kong and Shanghai stock deal to launch next week 10/11/2014 The Securities and Futures Commission (SFC) and the China Securities Regulatory Commission (CSRC) have approved the launch of the Shanghai-Hong Kong Stock Connect pilot scheme. UBS adviser arrested amid Israeli evasion probe 06/11/2014 A senior UBS investment adviser has been arrested in Israel as part of an investigation into Israeli nationals holding undisclosed accounts at the Swiss bank.
US jury acquits former UBS Wealth Management chief executive of helping rich Americans to dodge taxes 04/11/2014 A US jury has acquitted Raoul Weil, a former chief executive of UBS Wealth Management, for conspiring with rich Americans to hide around $20 billion in secret accounts from the Internal Revenue Service (IRS), tax authority, between 2002 and 2007.
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