Sunday 17th February 2019
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Two found guilty of insider dealing

Two found guilty of insider dealing Matthew Uberoi and his father, Neel Uberoi, have been found guilty of insider dealing at Southwark Crown Court. While an intern at a corporate broking firm working on takeovers and other price sensitive deals, Matthew Uberoi passed inside information about 3 companies to his father. His father then purchased […]

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FATF to review its recommendations to increase transparency

FATF to review its recommendations to increase transparency On 3 November 2009, the Financial Action Task Force (FATF) published a speech given by Paul Vlaanderen, FATF President, on 30 October 2009, in which he talked about the need to increase transparency in the area of anti-money laundering (AML). The FATF has been called on by […]

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FSA writes to compliance officers about compliance with projection rules

FSA writes to compliance officers about compliance with projection rules for non-MiFID products On 4 November 2009, the FSA published a letter (letter) that it has sent to compliance officers of firms about complying with the projection rules for non-MiFID packaged products (projection rules). The projection rules are set out in Annex 2 of Chapter […]

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IOSCO consults on mitigating private equity conflicts of interest

IOSCO consults on mitigating private equity conflicts of interest On 3 November 2009, the International Organization of Securities Commissions (IOSCO) published a consultation report on private equity conflicts of interest (consultation). Publication of the consultation, prepared by IOSCO’s Technical Committee (Committee), follows a May 2008 IOSCO report identifying potential risks emerging from the private equity […]

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HM Treasury approves Law Society’s updated anti-money laundering practice

HM Treasury approves Law Society’s updated anti-money laundering practice note On 29 October 2009, the Law Society published an updated version of its anti-money laundering practice note (note). The note, dated 29 October 2009, is intended to help solicitors comply with the requirements of the Proceeds of Crime Act 2002 (POCA), the Terrorism Act 2000 […]

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FATF reports on money laundering and terrorist financing in securities sect

FATF reports on money laundering and terrorist financing in securities sector On 26 October 2009, the Financial Action Task Force (FATF) publisheda report on money laundering (ML) and terrorist financing (TF) in the securities sector. The FATF decided to carry out a global study of ML and TF in the securities sector in June 2008 […]

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Reform of the structure and regulation of banking in the UK: Mervyn King

Reform of the structure and regulation of banking in the UK: Mervyn King speech Mervyn King, Governor of the Bank of England (BoE), gave a speech to Scottish business organisations in Edinburgh on 20 October. In his speech Mr King mentioned, amongst other things, that the “too important to fail” problem is too important to […]

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Tax inquiry into Lloyds off-shore –

Lloyds Banking Group is being investigated by British tax officials over allegations that wealthy clients are being encouraged to avoid UK taxes by channelling money through China, a BBC Panorama investigation reveals. The advice from an employee at the Jersey branch of the bank bailed out by taxpayers was secretly filmed for the BBC by […]

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