Regulation

Regulation

FCA accused of aiding scammers through its register

Advisers describe it as a “complete shambles”

16 December 2019 • 2 min read

Wealth managers

SJP claims charges are 'mid-range' compared to competitors

In quarterly newsletter

16 December 2019 • 1 min read

Regulation

Accountability standards questions remain as SMCR comes into force

New guidelines introduced at the start of December

09 December 2019 • 2 min read

Regulation

'Honeymoon period' as firms escape fines for MiFID II reporting failures

FCA pragmatism 'will not last forever'

05 December 2019 • 2 min read

Regulation

Swiss regulator moves to sanction GAM over 'potentially material misstatement' in Cantab liabilities

Acquisition in 2016

04 December 2019 • 2 min read

Investment

Hargreaves Lansdown among targets of Woodford investors' legal challenge

Investors face 'heavy financial losses'

03 December 2019 • 2 min read

Regulation

FCA to temporarily ban promotion of speculative mini-bonds

From 1 January 2020

26 November 2019 • 3 min read

Regulation

How compliance teams can face the 'surveillance conundrum'

Keeping up with changing regulation

18 November 2019 • 3 min read

Regulation

MiFID III 'the last thing' asset management needs amid EU review

Changes to take place by next year

18 November 2019 • 2 min read

Asset Managers

Update: Industry welcomes IA's clarity on responsible investment definitions, but progress still needed

New guidelines from the Investment Association

15 November 2019 • 3 min read