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  • UK Financial Conduct Authority Fines Julius Baer International Limited £18m And Publishes Decision Notices For Three Individuals

    Date 30/11/2022

    Louise Whitestone, Thomas Seiler and Gustavo Raitzin have referred their Decision Notices to the Upper Tribunal where they will each present their respective cases. The Upper Tribunal will then determine whether to dismiss the respective references or remit them to the FCA with a direction to reconsider and reach a decision in accordance with the findings of the Upper Tribunal. Any findings in the individuals’ Decision Notices and the descriptions of those findings in this press release are therefore provisional and reflect the FCA’s belief as to what occurred and how it considers their behaviour is to be characterised.

  • Saudi Tadawul Group Launches The 3rd Edition Of The Saudi Capital Market Awards 2022

    Date 30/11/2022

    Saudi Tadawul Group announced the launch of the third edition of the Saudi Capital Market Awards. The awards aim to honor distinguished market participants who are championing the development of the Saudi capital market across a variety of practice areas and build on the success of the previous editions.

  • PIMFA Welcomes UK Financial Conduct Authority Proposals For A Simplified Advice Regime

    Date 30/11/2022

    PIMFA, the trade association for wealth management, investment services and the personal investment and financial advice industry, has welcomed the Financial Conduct Authority’s (FCA) proposals for a simplified advice regime to encourage more consumers to seek financial advice and reduce the cost burden of advice for relatively simple financial decisions.

  • IOSCO Identifies Sound Education Practices For Securities Regulators To Consider In A Crisis Situation To Support Investor Protection

    Date 30/11/2022

    IOSCO today published a report on Investor Behaviour and Investor Education in Times of Turmoil: Recommended Framework for Regulators based on Lessons Learned from the COVID-19 Pandemic, which found that the pandemic did not hinder investor education efforts. In fact, many regulators continued, expanded and/or adapted their investor education activities to support investor protection throughout the pandemic.

  • Decision By The Nasdaq Stockholm Disciplinary Committee Regarding Trelleborg AB

    Date 30/11/2022

    The Disciplinary Committee of Nasdaq Stockholm has found that Trelleborg AB (the “Company”) has breached the rules of Nasdaq Stockholm (the “Rulebook”) and therefore ordered the Company to pay a fine of four annual fees, corresponding to an amount of approximately SEK 9,600,000.

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