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Investment and institutional securities

With effect from 4th April, 2018, new rules will apply to Australian financial services (AFS) licensees that hold "derivative retail client money."

Inevitably, it's not that simple. Then again, our detailed analysis shows that compliance should not be expensive or difficult,

One always has to adopt a basic position of scepticism when someone appears to think they are being clever by using a popular phrase: an example is Dame Nemat Talaat Shafik, who likes to be known as "Minouche,", the Deputy Governor, Markets and Banking, of the Bank of England and a Member of the Bank of England Monetary Policy Committee. Her paper "Think Global, Act Local" is the start of her swansong : she is to leave the BoE in February 2017 to become Director, London School of Economics.

The Securities and Exchange Commission today sued AMMB Consultant Sendirian Berhad (AMC), a Malaysian investment adviser, alleging that for more than a decade, AMC charged a U.S. registered fund for advisory services that it did not request and that AMC did not provide. The total cost to the company in the USA? USD3,125,000.

 


 

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