News, Comment & Analysis results for CISI
Compliance Corner: FCA Fines Barclays £40 Million Over 2008 Qatari Capital
Barclays said that it wanted to "draw a line" under the issues and did not want to contest the...
Swiss Lawmakers Reject Inheritance "Solidarity" Tax
The decision to reject the ideas come as Switzerland is mindful of trying to bolster its...
Terminally Ill Adults (End of Life) Bill: What Might We Expect?
The author of this article says that the balance of presenting an individual’s right to seek to...
Regulators Must Open Up About Decisions To Improve Fairness – Singapore Firm
Regulators that mete out punishments and other measures aren't infallible; a recent saga in...
VP Bank's Interim Profits Slide, Says Plans Cost Cuts
The Liechtenstein-based bank also reiterated its decision to close its Hong Kong office, although...
Who’s Moving Where In Wealth Management? – CISI
The latest moves, appointments and personnel changes among wealth management and related...
UK Investment Firm Secures CISI Chartered Firm Status
The status is awarded by the Chartered Institute for Securities & Investment. ...
Mass-Affluent, Lower HNW Market – Are Wealth Managers, Banks Cracking The Code?
In this news analysis, the editor examines whether firms have figured out decisively how to cater...
UK Regulator Starts Woodford Enforcement Action; Reverses Research "Unbundling"
It has been a busy week for the UK regulator, with actions from the five-year-old case of fund...
Julius Baer International Achieves CISI Chartered Firm Status
The bank's business in the UK said the status is a high mark of professionalism and...
Comment & Analysis results for CISI
The Power Of Nuptial Agreements In English Courts
As the authors of this article explain, nuptial agreements are not automatically binding in the...
Decisive Adopts "Endowment" Mindset In Building Long-Run Returns
Decisive is an example of the kind of EAMs that are an important sector in the Swiss financial...
An Overview From EY On Tech Traps Facing The Sector
EY has once again partnered with this publication on our must-read annual report "Technology Traps...
The "ZXC" UK Court Decision Vs Bloomberg – What It Means For HNW Individuals
The UK Supreme Court has addressed a case regarding Bloomberg News publishing a highly confidential...
Undisclosed Digital Assets? - Decision Time Is Now
Anyone who bought into the idea that cryptocurrencies - aka digital assets - such as bitcoin cannot...
Warren Buffett's Japan Bet: There's More To Come
A large investment firm based in Japan considers Warren Buffett's recent decision to build stakes...
Making History Inform Smart Financial Decisions
A world that is hungry for data and quick results often grants greater value to a popular...
Behavioural Economics And Wealth Management – The Comfort Gap
This article gets into the details of behavioural economics and how it applies to investments and...
Competence in the New Regulatory Landscape
At last week's CISI 'training and competence' conference in London, Paul Slater of Coutts explained...
SUITABILITY FOR PRIVATE CLIENTS: A REFRESHER
Every firm must take reasonable steps to ensure that a personal recommendation, or a decision to...
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