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Deutsche Bank fined over Dubai private banking breaches 16/04/2015
Deutsche Bank in Dubai has been ordered by the local regulator to pay $8.4 million in a fine for breaches in its private banking business in the Gulf.

A tale of two duties? 16/04/2015
The increased regulatory focus on director accountability should prompt a reassessment by the boards of all wealth managers of their responsibilities, writes Alan Leale-Green, managing director of London-based compliance firm CCL.

Swiss return $19.4m of laundered money to Brazil 15/04/2015
The Swiss authorities are to return USD 19.4 million to Brazil.

FCA fines Bank of New York Mellon £126 million 15/04/2015
The Financial Conduct Authority (FCA) has fined the Bank of New York Mellon’s London branch and the Bank of New York Mellon International, two of the biggest custodian banks active in the UK, £126 million for failing to comply with the FCA Client Assets Sourcebook’s (CASS) custody rules between November 2007 and August 2013, primarily by co-mingling client assets.

IMF calls for asset management stress tests 09/04/2015
The International Monetary funds has called for asset managers to undergo ‘stress test’ similar to the system for the banking sector.

Wealth management IT firm begins MiFID II preparations 01/04/2015
JHC Systems has responded to guidance from the Wealth Management Association (WMA) and has started a project to adapt its wealth management platform, FIGARO, to accommodate new MiFID II regulations.

FCA set to increase its fees 26/03/2015
The Financial Conduct Authority (FCA) has launched a consultation on the fees paid by regulated firms in order to cover the growing costs of its activities.

UK regulator seeks views on MiFID II 26/03/2015
UK regulator The Financial Conduct Authority (FCA) is seeking early views on how it might implement MiFID II.

Customer-centricity must pierce through the heart of wealth management firms 26/03/2015
As a conduct-focused regulator, the FCA is keen to ensure that firms are implementing good standards underpinned by a consumer-centric culture enforced from the top down. This is a particular focus for the wealth management sector, which has been criticised in the past for profit-driven cultures resulting in suitability failings.

Jeremy Paxman probes Jersey's funds industry 24/03/2015
It has been eight months since the implementation of the EU Alternative Investment Fund Managers Directive (AIFMD), but regulation is still keeping Jersey’s alternative funds professionals awake at night, discovered Jeremy Paxman.

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