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Complaints to financial service firms fall by 5% 25/09/2014
Financial service firms complaints decreased by 5 percent between January and June 2014 to 2,358,732.

The return of mansion tax madness 24/09/2014
Scottish devolution may yet pose more problems for UK politicians. This will be especially the case if the increased powers promised to Scotland resurrect, or require a solution to, the “West Lothian Question”, the continued ability of Scottish Members of Parliament to vote on legislation that covers only England.

FCA to fine Barclays £38 million for client segregation failings 23/09/2014
The Financial Conduct Authority is to fine Barclays £38 million for failing to ensure that customer money was properly safeguarded and adequate records kept, according to sources familiar with the punishment.

FCA confirms Barclays fine for putting £16.5 bn of client assets at risk 23/09/2014
Barclays has been fined £37.7 million by the Financial Conduct Authority for failing to properly protect clients’ custody assets worth £16.5 billion.

EXCLUSIVE: Getting suitability right means getting buy in from all staff, Brent Randall of Wealth Dynamix tells 2014 PAM Annual CEO Dinner 18/09/2014
Suitability is an issue that no wealth management firm can ignore, but it in order for a firm to succeed it needs to ensure there is “bottom up” commitment to the concept, Brent Randall, chief operating officer of Wealth Dynamix, a wealth management software firm, told diners at the 2014 PAM Annual CEO Dinner.

PwC appoints new asset management tax director 18/09/2014
PwC has appointed Bradley Phillips as an asset management tax director - focusing on advising investment funds and asset managers on a range of tax issues.

Guernsey adds 42 new funds in Q2 18/09/2014
Guernsey’s financial services regulator approved 42 new investment funds during the second quarter of this year, resulting in a total of 131 additions during the 12 months to the end of June 2014.

EXCLUSIVE: 'Self regulate' over conduct risk and decrease regulatory pressure, Ben Blackett-Ord, CEO of Bovill tells PAM Annual CEO Dinner 17/09/2014
The Financial Conduct Authority (FCA), the UK’s regulator, is looking for wealth management firms to demonstrate they can “self-regulate” and understand conduct risk. But this must be a culture set by the chief executive, diners at the PAM Annual CEO Dinner last night (16/09/2014) were told by Ben Blackett-Ord, chief executive of Bovill, a consultancy firm.

TMF to offer AIFMD compliant 'lite' service 16/09/2014

Former St James's place adviser banned and fined £300,000 after client losses 16/09/2014
The Financial Conduct Authority said that Peter Carron, formerly a senior partner at St James’s Place Wealth Management, caused his clients losses about £2.2 million.

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