Search Results for: compliance
The Nine Law Firms that have won a place on French multinational aerospace global legal panel
June 9th, 2016
Eversheds, Hogan Lovells and Baker & McKenzie are among nine firms to have won places on French multinational aerospace, defence and security firm Safran’s inaugural global legal panel. Weil, Gotshal & Manges, as well as Fieldfisher and Osborne Clarke ...
FINRA fined full-service investment firm $2.9 Million
June 9th, 2016
FINRA Sanctions Oppenheimer & Co. $2.9 Million for Unsuitable Sales of Non-Traditional ETFs and Related Supervisory Failures The Financial Industry Regulatory Authority (FINRA) announced today that it has fined full-service investment firm Oppenheimer & Co. Inc. $2.25 million and ordered ...
ECB published its Convergence Report 2016 for Bulgaria, Romania, Poland and another four Countries
June 8th, 2016
The period covering the latest rounds of EU enlargement has seen many countries making considerable progress towards participating in Economic and Monetary Union (EMU) The seven countries under review comply with most of the quantitative economic criteria, but none ...
Deloitte announces new Managing Partner for Tax
June 8th, 2016
Deloitte has announced Matt Ellis as new managing partner for tax in the UK and Switzerland. He assumes the role from Andy Hodge, who has led the practice for the past five years and is retiring from the firm. ...
IHS and Markit announce Senior Executive Leadership appointments for IHS Markit
June 7th, 2016
IHS (NYSE: IHS) and Markit (NASDAQ: MRKT) today announced senior executive leadership appointments for IHS Markit following the consummation of the proposed merger of equals that was announced on March 21, 2016. The appointments will be effective upon completion ...
FRC investigates KPMG over Ted Baker audit ethics
June 6th, 2016
The Financial Reporting Council (FRC) has announced it is to investigate KPMG over the firm’s consideration of and compliance with ethical standards in connection with the provision of non-audit services during the audit of the financial statements of Ted ...
Financial service firms spend $1.2 billion per year on consolidated market data feeds
June 3rd, 2016
The financial services industry spends more than $1.2 billion annually on consolidated market data feed products, according to a new report from Greenwich Associates. The new Greenwich Report, Revitalizing the Consolidated Real-Time Feed Business, presents the results of a ...
CFTC Orders Bitcoin Exchange Bitfinex to Pay $75,000
June 3rd, 2016
CFTC Orders Bitcoin Exchange Bitfinex to Pay $75,000 for Offering Illegal Off-Exchange Financed Retail Commodity Transactions and Failing to Register as a Futures Commission Merchant The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously ...
ASIC cancels the AFS licence of TMK Index Limited
June 1st, 2016
ASIC has cancelled the Australian financial services (AFS) licence of TMK Index Limited (AFS Licence No 314823) for failing to comply with a number of key obligations, including requirements around the lodgment of accounts, breach notifications, meeting Net Tangible ...
Shell to launch its own offshore legal centre
May 31st, 2016
In the latest twist to the offshoring saga, and following news last week that two global 100 firms are to outsource to Poland and Manila, Royal Dutch Shell is preparing to open its own offshore legal centre to service ...
