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  • SEC Charges Wells Fargo In Connection With Investment Recommendation Practices

    Date 27/02/2020

    The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network for failing reasonably to supervise investment advisers and registered representatives who recommended single-inverse ETF investments to retail investors, and for lacking adequate compliance policies and procedures with respect to the suitability of those recommendations. The SEC ordered Wells Fargo to pay a $35 million penalty, which will be distributed to harmed investors.

  • Financial Sector’s Cybersecurity Global Readiness Exercised By Quantum Dawn V

    Date 27/02/2020

    SIFMA today released the summary of key recommendations from its biennial Quantum Dawn cybersecurity exercise conducted in November 2019.  This event enabled key public and private bodies around the globe to exercise their incident response protocols, both internally and externally, simulating how they would respond to global cyber-attacks. Participants included more than 800 representatives from over 150 financial firms, as well as more than 50 regulatory authorities, central banks, government agencies and trade associations across 19 countries.

  • Canadian Securities Regulators Propose New Nationally Harmonized Crowdfunding Rules

    Date 27/02/2020

    The Canadian Securities Administrators (CSA) is seeking comment on proposed harmonized rules for start-up securities crowdfunding.


  • TheCityUK Comments On The UK’s Approach To Negotiations With The EU

    Date 27/02/2020

    The UK Government has published its approach to negotiations with the EU ahead of negotiations opening between the UK and the EU next week.

  • Comment - Duff & Phelps: EU/UK Relationship - FS Industry

    Date 27/02/2020

    Reacting to the UK policy document outlining the approach to the future relationship between the UK and EU, Mark Turner, Managing Director within Duff & Phelps’ compliance and regulatory consulting practice had the following to say about the financial services sector and regulation:  

    “The policy paper released today shows that the UK is striking a more comprehensive and aggressive stance than the previous government. The government highlights that the trading arrangements already in place with counties outside the EU do not bind them to EU regulation in financial services and beyond. This appears to be the UK government’s view on the position they want for the UK.”

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