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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.

JP Morgan in private bank 'product pushing' talks with regulator - report 25/06/2015
J.P. Morgan is in talks with the Securities and Exchange Commission to settle an inquiry into whether the bank inappropriately steered private banking clients to its own investment products, the Wall Street Journal reported, quoting people familiar with the matter said.

Julius Baer expects to pay $350 million to settle with US Department of Justice 24/06/2015
Julius Baer has made a preliminary provision of US$ 350 million to settle with the US Department of Justice for matters relating to its legacy US cross-border business

FCA confirms regulatory fees increase 24/06/2015
The FCA has confirmed it is to increase regulatory fees in 2015/2016

UK regulators unveil new rules on City pay and bonuses 23/06/2015
The Prudential Regulation Authority (PRA) and Financial Conduct Authority (FCA) have released details of their new remuneration rules which include changes to deferral and clawback of bonuses.

ABN Amro fires Dubai private banking employee for violations 23/06/2015
ABN Amro has fired an employee as part of an investigation into its private banking operations in Dubai, the Dutch bank said.

 
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