Switzerland Begins Consultation on Anti-Money Laundering Act and to Enforce Mandatory Verification of UBO

Switzerland Begins Consultation on Anti-Money Laundering Act and to Enforce Mandatory Verification of UBO The Federal Council (Switzerland) has initiated consultation on amendments to the...

Credit Suisse Hong Kong Pays $47 Million to United States Authorities to Resolve Investigations...

Credit Suisse Hong Kong Pays $47 Million to United States Authorities to Resolve Investigations of Hiring Practices in Asia Credit Suisse Hong Kong will pay...

ANZ, Citi, Deutsche Bank and Individuals Faces Criminal Charges in Australia for Possible Cartel...

ANZ, Citi, Deutsche Bank and Individuals Faces Criminal Charges in Australia for Possible Cartel in 2015 ANZ Share Placement ANZ, Citi and Deutsche Bank will...

Hong Kong SFC Fines Citigroup $7.26 Million for Deficiencies as IPO Sponsor

Hong Kong SFC Fines Citigroup $7.26 Million for Deficiencies as IPO Sponsor The Securities and Futures Commission (SFC) has reprimanded and fined Citigroup Global Markets...

Hong Kong SFC Provides Guidance on Use of Instant Messaging to Receive Orders from...

Hong Kong SFC Provides Guidance on Use of Instant Messaging to Receive Orders from Clients Hong Kong's Securities and Futures Commission (SFC) has issued a...

Deutsche Bank Appoints Christian Sewing as New Chief Executive Officer

Deutsche Bank Appoints Christian Sewing as New Chief Executive Officer Deutsche Bank has appointed Christian Sewing as Chief Executive Officer.  He replaces John Cryan, who...

Old Mutual International Files Claims Against Leonteq for Structured Product Transactions

Old Mutual International Files Claims Against Leonteq for Structured Product Transactions Leonteq has received an informal notice from Old Mutual International for a claim against...

Hong Kong SFC Found Serious Deficiencies in IPO Sponsors Work

Hong Kong SFC Found Serious Deficiencies in IPO Sponsors Work Hong Kong’s Securities and Futures Commission (SFC) have uncovered serious deficiencies and instances of non-compliance...

Hong Kong SFC Fines UBS Securities Asia $570,000 for Failure to Record Client Transactions

Hong Kong SFC Fines UBS Securities Asia $570,000 for Failure to Record Client Transactions Hong Kong’s Securities and Futures Commission (SFC) has reprimanded and fined...

Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code

Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code Hong Kong’s Securities and Futures Commission (SFC) has criticised Nomura Hong Kong and Annisa...