Regulation & Tax

Wealth management trade association PIMFA has warned firms about the scale and impact of post-Brexit regulations being introduced.

Following Lord Hill’s listing review, the Financial Conduct Authority (FCA) will be consulting shortly on amending its listing rules and related guidance.

Swiss regulator FINMA has lifted the ban on Julius Baer executing large and complex acquisitions.

No one was quite sure what to expect from “tax day” in the lead up to 23 March. At face value, those who didn’t get too excited about it appear to have been proved right. However, there’s a lot of information hidden in the detail of various consultations that could shape tax policy for years to come.

Here’s what caught the private wealth industry’s eye.

The Financial Conduct Authority (FCA) has launched a new campaign designed to encourage whistleblowing at the firms it oversees.

Swiss regulator FINMA’s chief executive Mark Branson is stepping done to become president of the Federal Financial Supervisory Authority BaFin in Germany from mid-2021.

UK asset managers could struggle with EU Sustainable Finance Disclosure Regulations (SFDR) compared to their European counterparts, according to according to a new report published by Bloomberg Intelligence (BI).

The FCA acknowledges it needs to change, said Debbie Gupta, director of life insurance and financial advice at the regulator.

The Jersey Financial Services Commission (JFSC) has appointed Monique O’Keefe and Diane Maxwell as deputy chair and director of policy respectively.

UBS has begun its appeal against a record €4.5 billion penalty.