News results for fca

People Moves
8 August 2022

Who's Moving Where In Wealth Management? – Hampden & Co, FCA

The latest moves and appointments for wealth management roles in the UK, other parts of Europe, the...

Compliance
31 March 2022

UK Regulator Names Greensill In GIML Fines Case

The FCA said it was not able to name Greensill Capital as a party in the matter until now....

People Moves
1 February 2022

Who's Moving Where In Wealth Management? – FCA, Ignition, Others

The latest moves and appointments in the global wealth management industry. ...

Compliance
19 January 2022

Compliance Corner: FCA, European Firms

The latest compliance news: regulatory developments, punishments, guidance, permissions and new...

Compliance
21 December 2021

PRA Fines Standard Chartered £46 Million Over Regulatory Lapses

The penalty was imposed by the Bank of England on Standard Chartered for reporting errors between...

Compliance
15 December 2021

FCA Acts To Tackle Application Bottlenecks

The UK's financial services watchdog has defended using external legal and recruitment resources to...

Legal
14 December 2021

UK Watchdog Fines NatWest £264.7 Million For AML Failings

In its summary of the case, the FCA said that some of the bank’s employees, who were in charge of...

People Moves
18 October 2021

UK Starts Search For New Regulatory Chair

Appointed for a five-year term, the chairman of the FCA has been at the helm during a tumultuous...

Compliance
7 July 2021

Compliance Corner: FCA, UK Fund Management Industry

The latest compliance news: regulatory developments, punishments, guidance, permissions and new...

Compliance
24 March 2021

Compliance Corner: FCA

The latest compliance news: regulatory developments, punishments, guidance, permissions and new...

Comment & Analysis results for fca

Client Affairs
2 April 2020

The Lockdown: How Wealth Managers Are Coping

For a sense of the immediate impact of the health crisis on wealth managers as they meet client and...

Uncategorised
22 November 2013

The regulation of advisers: the FCA's promises for 2014

Chris Hannant, the director-general of the UK's Association of Professional Financial Advisers,...

Uncategorised
1 October 2013

The FCA Targets the Wealth Management Industry

In this article Harvey Knight, a partner at the global law firm of Withers, gives us a blow-by-blow...

Uncategorised
9 September 2013

THE UK'S BRIBERY ACT: WHAT IT MEANS FOR WEALTH MANAGERS

With the Financial Conduct Authority reportedly reviewing at least 22 asset management firms for...

Uncategorised
9 September 2013

THE FCA INTERVIEW: A NEW WEALTH MANAGEMENT POLICY

Recently CM interviewed Clive Adamson, the genial head of the British FCA’s supervision...