The FCA has released a statement with regard to Damian Clarke, a former equities trader at Schroders Investment Management Limited, who pleaded guilty at Southwark Crown Court to nine counts of insider trading. He will be sentenced on 13 June 2016. Mr Clarke pleaded guilty to seven counts of insider dealing on 24 July 2015, and …
Former equities trader pleads guilty to insider dealing Read More »
The Australian Securities and Investments Commission (ASIC) has published a statement with regard to imposing additional measures for ANZ as a result of several shortcomings, which had already resulted in a financial penalty for $4.5 million. Following concerns raised by ASIC, the Australia and New Zealand Banking Group (ANZ) has agreed to an independent review …
The Prudential Regulation Authority (PRA) has issued a statement, in which it puts forward proposals to amend the Contractual Recognition of Bail-In Part of the PRA Rulebook, along with a draft supervisory statement reflecting the PRA’s expectations. The proposals are consistent with the modification by consent published by the PRA in November 2015. This CP is relevant …
PRA consults on contractual recognition of bail-in Read More »
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