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Comment and Analysis

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Advice

Australian Royal Commission moves into high gear

After years of dragging its feet over the appointment of a Royal Commission to look into malpractice in the banking sector, the Australian Government is belatedly promising dire penalties for senior bankers who ...

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Regulation of Products

TCC's regulatory update for April

This month’s update is dominated by the publication of the FCA’s 2018/19 Business Plan and Sector Views. Alongside this we also bring you details of the regulator’s plan to measure the effect of its activities a...

Latest News

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Fines and Punishment

Staley to keep his job at Barclays

The UK's conduct and prudential regulators have now concluded their investigations regarding Jes Staley, the group CEO of Barclays Bank, in relation to his attempt to identify the author of an anonymous letter i...

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People Moves

Janus hires new compliance supremo

Janus Henderson Investors, the active asset management firm, is to appoint Georgina Fogo, the global head of compliance at Blackrock, to its executive committee as chief risk officer. ...

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People Moves

Highvern appoints ex-regulator

Highvern has appointment Natalie Jelley, an ex-regulator and former head of compliance for a FTSE-100-owned trust and funds business based in Jersey, as compliance director. ...

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Confidentiality

SEC awards informant more than US$2.1 million

America's Securities and Exchange Commission has awarded more than US$2.1 million to a former company insider whose information helped it discipline others. The person helped the regulator all the way through an...