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Big fines lie ahead predicts Bovill wealth and private banking principal 08:03 GMT
Big fines and reprimands for compliance issues still lie ahead for wealth management. Mark Spiers, principal, head of Wealth Management and Banking at consulting firm Bovill, told thewealthnet he feared it would be three years before the sector closed the gap between UK regulator's expectations and reality.

Raiffeisen designated 'too big to fail' 14/08/2014
The Swiss National Bank has added Raiffeisen to its list of banks considered 'too big to fail'.

US regulator charges Bahamas-based brokerage firm with international fraud 12/08/2014
US regulator, the Securities and Exchange Commission (SEC) has charged a Bahamas-based brokerage firm and its president for enabling a fraud that was halted when the SEC charged the hedge fund manager at the centre of the scheme.

JP Morgan private banking securities sales 'investigated by SEC' 11/08/2014
The US Securities and Exchange Commission is investigating whether JPMorgan Chase & Co inappropriately directed private banking clients to its own investment products and away from those offered by outside firms, the Wall Street Journal reported, citing people familiar with the matter.

UK consultancy firm expands wealth management team with hire from EY 08/08/2014
A specialist financial services regulatory consultancy, has appointed Neil Walkling as a consultant in its Wealth Management and Banking team.

Deutsche Bank hires lawyer to lead regulatory reform 06/08/2014
US-Swiss lawyer Nadine Faruque has been appointed by Deutsche Bank to head a reform of its regulatory compliance practices after a long list of investigations and potential settlements that have beset the bank since the financial crisis.

UK regulator restricts sale of contingent convertible securities 05/08/2014
High net worth or sophisticated investors are among the few still able to be sold contingent convertible securities (CoCos) after the UK regulator acted to restrict their sale.

Firms fail to deliver best execution for clients, finds FCA 04/08/2014
Retail and professional clients are being failed by firms that donít properly apply the rules on best execution when trading on their behalf, according to a review by the Financial Conduct Authority (FCA).

Gottex obtains Swiss regulator approval for merger with EIM 04/08/2014
Gottex Fund Management Holdings Limited (Gottex) and EIM Group (EIM), two alternative investment managers, have received approval from the Swiss Financial Market Supervisory Authority (FINMA) for its merger.

Bedell Trust to provide depositary services from London and Jersey 01/08/2014
Jersey-based Bedell Trust has received regulatory approval and a variation of permission from the Financial Conduct Authority (FCA) to provide depositary services to UK Alternative Investment Funds (AIFs) as well as "depositary-lite" services to non-EEA AIFs from its London office.

 
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