SER opens investigation against Banque Cantonale du Valais (Walliser Cantonal Bank)
The alleged violation concerns regulations on ad hoc publicity and is related to the disclosure of price-relevant facts.
Legal
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Why the FCA could be restricting Raymond James
Dodgy tech systems, concerns over suitability, scrutiny over client cash controls, and anxiety over Raymond James’s ‘flexible’ model may have fed into the FCA’s restrictions.
How the PUK Became a Bad Bank for Regulation
National Councilor and parliamentary group president Thomas Aeschi of the SVP directed a barb on the topic of Credit Suisse at FDP president Thierry Burkart.
Societe Generale and Brookfield partner to launch a EUR 10 billion private debt fund
The seed fund will focus on two strategies
Carey Olsen pair named NextGen Leaders by eprivateclient
The NextGen Leaders list, which replaces eprivateclient's prestigious annual UK and UK Crown Dependencies Top 35 Under 35, recognises outstanding professionals working in the legal and finance sectors
JPMorgan Chase, Goldman Sachs, UBS and Morgan Stanley Agree To Pay $499,000,000 Over Anti-Competitive Accusations
The pension funds accuse the banks of trying to corner the market with their own system called EquiLend, while hindering the development of new platforms that would execute the borrowing and lending of electronic securities.
Nordea AM Secures Singapore License
The new hub will also be integrated with NAM’s «ESG-focused internal investment boutiques as well as its portfolio managers covering equities, fixed income and multi-asset investments».
Woodford investors could get £200m compensation in early 2024
Link Fund Solutions lays out the timetable for a final compensation programme for investors trapped in the Woodford Equity Income, subject to a likely December vote.
Asian Captive Conference 2023: The Connected Risk Journey in Self-Insurance
Steering the risk journey in an ever-shifting captive landscape
Alleged Launderer Assets Seized at Julius Baer, CS
Previously, Vang also had $2.6 million frozen at RHB Bank Bhd. and S$600,000 at UOB Kay Hian Pte.
How much can a state guarantee cost?
The Federal Council recently wrote a corresponding message .
European WMs stumped by Mifid directives in sustainability assessments
Over half (57%) said that they do believe that it will improve investor outcomes, and 11% are not sure whether it will or not.