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FCA appoints new investment director 31/07/2015

The week on eprivateclient 27/07/2015
A look back at the popular stories on eprivateclient last week.

FCA's Martin Wheatley to step down 17/07/2015

Barclays wins US HNW advisers damages claim 16/07/2015
A team of three advisers who claimed more than $5 million from Barclays have lost their case.

FCA updates criteria for referrals to enforcers 10/07/2015
The Financial Conduct Authority has updated the criteria and outlined the process it uses when deciding whether to refer a firm or individual to its enforcement division for a formal investigation.

US regulator orders three firms to repay clients $30 million 07/07/2015
The Financial Industry Regulatory Authority (FINRA) has ordered Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC, Raymond James & Associates, Inc., Raymond James Financial Services, Inc. and LPL Financial LLC to pay over $30 million in restitution including interest, to affected individuals for inappropriately failing to waive mutual fund sales charges for charitable and retirement accounts.

Temporary UK bank deposits of 1 million to be protected 07/07/2015
UK regulators will now protect depositors with temporary high balances of up to 1 million. The protection will cover six months from the date on which the money is transferred into their account, or the date on which the depositor becomes entitled to the amount, whichever is later.

BNP Paribas ordered to pay $16 million in compensation to London couple 02/07/2015
BNP Paribas has been ordered to pay $16.1 million in compensatory damages to a couple, Margaret and James Eringer, who live in London.

Swiss banks to strengthen anti-money laundering regulations 30/06/2015
Owners of private companies must now be identified by Swiss banks under strengthened anti-money laundering controls just announced by the Swiss Bankers Association.

Another Swiss bank reaches agreement with US authorities 29/06/2015
Ersparniskasse Schaffhausen AG (EKS) has become the latest Swiss bank to reach a settlement agreement with the US Department of Justice.

 
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