FCA enforcement investigation proposal is ‘radical departure’ from norm, warns AIMA
In response to FCA’s proposal to release enforcement investigation information before a decision is made
regulation
-
-
House of Lords criticises FCA’s application of cost disclosure rules for investment trusts
Financial Services Regulation Committee said retained MIFID and PRIIPS rules has cost the UK an estimated £7bn
-
Financial services sector leaders warn against FCA’s proposal to publicise enforcement investigations
Investment Association, UK Finance, PIMFA among others to sign letter to Jeremy Hunt against proposal
-
Wealth manager Q&A with Caroline Kitidis: Tech it or leave it
Global head of ultra-high net worth at HSBC Global Private Banking, on the importance of remaining open-minded and willing to embrace new technologies
-
PwC: Half of EMEA firms think AML regulations need more clarity
20% of respondents were concerned about lack of uniformity in applying regulations
-
Will the FCA’s response to Link failures change the role of ACDs?
TTF challenges regulator’s claim its Weif enforcement action will raise industry standards among ACDs
-
Woodford: Link avoided £50m FCA fine due to redress scheme
Regulator said it would have proposed a penalty of up to £50m if Link had not settled on a scheme of arrangement
-
Ocorian: Compliance issues causes loss for 81% of alternative fund managers in three years
92% expect compliance breaches to increase over two-year period
-
FCA increases spending and aims to bolster UK stockmarket in 2024/25 business plans
Will increase its workforce to 5,000 staff members by the end of March 2024
-
Baroness Bowles calls FCA ‘illegal, irrational and inconsistent’ amid AIFMD campaign
Argued against cost disclosure rules for investment companies in reading of second Private Member’s Bill
-
FCA: Concentrated wholesale data markets may mean higher rates
Top three credit rating agencies accounting for 99% of revenue
-
Wealth manager Q&A with James Fishbourne: Seeing the wood for the trees
Though volatile markets are unnerving for both wealth managers and their clients, Sarasin & Partners’ James Fishbourne says it is during these times you learn long-lasting lessons