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Financial Regulatory Developments Focus - December 2015 #3

JD Supra provides users with access to its legal industry publishing services (the "Service") through its website (the "Website") as well as through other sources. Our policies with regard to data collection and use of personal information of users of the ... read more

Deutsche Bank AG (DB)

Deutsche Bank AG filed its most recent Title I US Resolution Plan in July 2015 and, as a foreign-based covered company, was not required to file one in 2016 ... in Financial Instruments Directive (“MiFID II”) and the corresponding Regulation ... read more

FINRA Fines Broker-Dealer For Improper Soft Dollar Payments

FINRA fined a broker-dealer $400,000 after finding that the broker ... independent information regarding the safety of client assets). Mandatory Filing Of Form ADV Part II. In 2008, the Commission proposed a number of amendments to Part II of Form ADV ... read more

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Is drive to make fund charges cheaper and clearer working? Top investment firms hiking fees on commission-free 'clean funds'

Wilson says Alliance Trust plans to convert all customers to clean funds by the end of this year, and the programme will be in line with the FCA's guidance on acting in their best interest. 'Our approach to fund conversions is based on the "clients best ... read more

Baillie Gifford lifts Hargreaves Lansdown stake above 5%

Baillie Gifford has increased its stake to Hargreaves Lansdown to above the 5% threshold. A filing on the London Stock Exchange ... questioned whether they deserved a premium rating. Brokers have described Hargreaves as a quality company but are ... read more


A copy of the Amended and Restated Agreement and Declaration of Trust (the "Agreement and Declaration of Trust"), which is governed by Massachusetts law, is on file with the Secretary of The Commonwealth of Massachusetts. The Fund is an open-end ... read more

InPlay from Briefing.com

9:04 am Fiat Chrysler reports July US sales -10% y/y to 161477 units and retail sales -6% y/y to 145,391 units (FCAU): In line with FCA's strategy to reduce sales ... but the balancing of the UK's budget may be delayed. Catasys (CATS) expanded its OnTrak ... read more


See "Regulation" in Part I, Item 1 of our Annual Report on Form 10-K for information related to our regulatory environment. Since early 2016, our Financial Services acquisitions have included Lucera, Sunrise Brokers, Besso, and several smaller acquisitions. read more

Shire to Combine with Baxalta, Creating the Global Leader in Rare Diseases

Combination creates leading global biotechnology company projected to deliver double-digit top-line growth with over $20 billion in annual revenues by 2020 The value of the offer, as of Shire's January 8, 2016 closing ADS price, represents a premium of ... read more

Fintech Finance Magazine 001

140% increase in transaction volumes from Australia to Asia for a leading bank using iGTB The digital financial technology you’ve always needed to leverage your expertise and on-field innovation is here. Realize your GTB ambitions with iGTB today ... read more

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