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HSBC pays $12.5 million to settle US claims over wrongful client business 26/11/2014
HSBC is to pay $12.5 million to settle accusations that its Swiss private banking arm solicited US investors without being registered.

Jersey regulators warn over Channel Islands offshore bank 25/11/2014
Banking regulators in Jersey have issued warning not to deal with a bank, named as Channel Offshore Bank (COB), claiming to operate in the Channel Islands.

FCA largely positive on wealth managers and conflicts of interest 25/11/2014
The UK’s regulator, the Financial Conduct Authority (FCA), has published a report into wealth management and private banking firms’ use of in-house investment products (IHPs) in retail discretionary and advisory investment portfolios.

HSBC Private Bank confirms formal French tax evasion investigation 24/11/2014
HSBC Private Bank (Suisse) has confimed it is under formal investigation by French magistrates over it aiding clients in tax evasion. As a result the bank has deposited a bail bond of EUR 50 million.

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.

 
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