Legal & Regulation

Monique Meils, Kinetic Partners

Balance is key to whistleblowing programs

Monique Melis (pictured), Global Head of Consulting at Kinetic Partners, the global professional services firm comments on whistle blowers… »


Luxembourg and the US sign Model 1 IGA

The US and Luxembourg governments have signed an agreement to improve international tax compliance and to implement the Foreign Account Tax Compliance Act (FATCA). »

Hector McNeil, co-CEO of Boost ETP

Boost welcomes possible UK Treasury review of spread betting tax loophole

Boost ETP has welcomed UK Treasury spokesman Lord Newby’s recent comment that ministers ought to look at the apparent “loophole” that allows spread betters to avoid income and capital gains tax. »


Nasdaq OMX files rule change to permit trading of exchange-traded managed funds

The Nasdaq OMX Group has filed a proposed rule change with the US Securities and Exchange Commission (SEC) to permit the listing and trading of exchange-traded managed funds (ETMFs). »

Approved stamp

Boost secures UK fund reporting status for ETP range

HM Revenue & Customs has approved all current Boost ETPs as UK Reporting Funds under the provisions of The Offshore Funds (Tax) Regulations 2009. »


Regulators struggling to balance protection with growth

Nearly half of financial services professionals (49 per cent) globally do not believe that any regulator has managed to strike the right balance between protecting investors and underpinning growth, according to a survey by Kinetic Partners. »

Gavel and scales

JP Turner to pay more than USD700,000 for unsuitable sales of leveraged and inverse ETFs

The Financial Industry Regulatory Authority (FINRA) has ordered Atlanta-based broker-dealer JP Turner & Company to pay USD707,559 in restitution to 84 customers for sales of unsuitable leveraged and inverse exchange-traded funds and for excessive mutual fund switches. »


Regulatory burden easing for ETFs

Exchange-traded fund (ETF) promoters are more supportive of regulation than last year, according to EY's recent survey, Global ETF survey: A new era of growth and innovation. »


Report identifies need for voluntary standards within financial services

The financial services industry is failing to adopt voluntary standards crucial to rebuilding trust in banking, despite overwhelming support from those working in the sector, according to a report. »


ESMA begins preparatory work for new market abuse regime

The European Securities and Markets Authority (ESMA) has published a Discussion Paper setting out its initial views on the implementing measures it will have to develop for the new Market Abuse Regulation (MAR). »

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