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Financial Services

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US SEC’s Atkins acknowledges $300 million shortfall in absorbing PCAOB June 04, 2025 | Neil Roland

US Securities and Exchange Commission Chair Paul Atkins acknowledged a $300 million budget shortfall in absorbing the Public Company Accounting Oversight Board if the independent audit overseer is folded into ... (more story)

US SEC to 'push back' on EU's human rights, climate directive, Atkins says June 04, 2025 | Neil Roland

US Securities and Exchange Commission Chair Paul Atkins told lawmakers he will “push back” on a 2024 EU directive on human rights and climate change. “I will definitely take steps with our counterparts abroad ... (more story)

United Insurance Brokers faces June 2027 trial over Ecuadorian bribery claims June 04, 2025 | Martin Coyle

United Insurance Brokers Limited was today given a trial date of June 2027 over a charge brought by the UK’s fraud agency that it failed to prevent bribery in Ecuador. The prosecutor alleges that millions of d... (more story)

EU T+1 to cost global custodians nearly three times more than in US, report says June 04, 2025 | Sofia Gerace

The move to a one-day securities trade settlement in the EU is set to be more expensive than it had been in the US last year, a report from advisory firm Firebrand Research has found. Global custodians — finan... (more story)

No EU appetite for financial services in UK-EU reset, UK lawmakers told June 03, 2025 | Sofia Gerace

Closer ties in financial services were kept out of recent EU-UK reset talks because it isn't a priority in most EU countries as they don't have large sectors and it doesn't enjoy much "political capital," the ... (more story)

Rockfire Investment under UK fraud probe over solar farm bonds June 03, 2025 | Phoebe Seers and Martin Coyle

Rockfire Investment Finance is under investigation by the UK’s Serious Fraud Office over allegedly fraudulent solar farm bonds it sold to a UK council. The SFO said it had issued a series of notices compelling... (more story)

NMC Health audit investigators found fraud 'cheat sheets,' UK court told June 03, 2025 | Martin Coyle

Forensic accountants investigating a massive fraud at NMC Health found internal “cheat sheets” in the company’s systems setting out its true financial position and detailing how “significant payments” were mad... (more story)

UK FCA to disclose investigations into unregulated firms under new policy June 03, 2025 | Phoebe Seers

The UK’s financial markets watchdog has announced it will start disclosing its investigations into unregulated firms, or suspected unauthorized activity, as part of three key revisions to the information it pr... (more story)

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US banking lobby calls on Fed to 'recognize liquidity value' of prepositioning collateral May 29, 2025 | Neil Roland

Comment: A major US banking group has called for the Federal Reserve to “recognize the liquidity value” of having banks preposition collateral at its discount window in the wake of the 2023 banking failures – ... (more story)

UniCredit again tests EU governments' appetite for banking consolidation May 28, 2025 | Jean Comte

Italian lender UniCredit's announcement today that it will double its stake in Alpha Bank received a nod from the Greek government — a stark contrast to Germany's critical reaction over UniCredit's recent offe... (more story)

US Supreme Court reassures on Fed independence, stays silent on FTC, FCC, PCLOB May 23, 2025 | Clayton Vickers and Mike Swift

While the US Supreme Court explicitly spared the Federal Reserve from the brunt of its decision on agency independence, the court was conspicuously silent on other purportedly independent bodies, including the... (more story)

Mastercard-Merricks UK class-action settlement's fallout risks being very messy May 23, 2025 | Simon Zekaria

The rancorous fallout of Mastercard's modest settlement with Walter Merricks in his UK class action against the card giant over card fees has set off concerns for the collective-action regime that were reignit... (more story)

Will EU retail investment strategy talks end in deadlock? Stand by for June 3 May 21, 2025 | Fanny Roux

EU governments and the European Parliament will meet on June 3 to resume negotiations on a final text for the Retail Investment Strategy package proposal, aimed at fostering retail investment in Europe, MLex u... (more story)

US appeals court questions suggest CFPB to be left in tatters May 19, 2025 | Neil Roland

US appeals court judges fired skeptical questions at the union lawyer challenging the Trump administration’s mass layoffs at the US Consumer Financial Protection Bureau – suggesting that the beleaguered agency... (more story)

UK sanctions regime review lacks detail on beefing up meager enforcement May 16, 2025 | Martin Coyle

UK government plans to consolidate sanctions lists and speed up enforcement of civil-law breaches will be welcomed as aims, but the new plan fails to grasp the nettle of patchy enforcement. The latest look at ... (more story)

Pension funds’ UK investment pledge conditioned on clearing regulatory obstacles May 13, 2025 | Phoebe Seers

A voluntary pledge outlined today by 17 major pension providers to allocate more funds to UK companies lands shortly before a major review of pensions investments that could mandate such an approach. While see... (more story)