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Network of financial advisers fined for fourth time by FCA 13:59 GMT
The UK’s regulator, the Financial Conduct Authority (FCA), has fined Sesame Ltd, which claims to be the UK’s largest network of financial advisers, £1,598,000 for setting up a pay-to-play scheme.

EXCLUSIVE: New entrants to wealth management sector likely to come from unexpected sources, Hakan Valberg of Advent Software told 2014 PAM Annual Operations Dinner 17/10/2014
New entrants to the wealth management sector are likely not to come from the traditional areas that have fed the industry in the past, according to Hakan Valberg, president of Advent Software EMEA.

European Banking Authority launches crackdown on bankers' bonuses 16/10/2014
The European Banking Authority (EBA) yesterday (15/10/2014) published the findings of its investigation into discretionary remuneration practices across the EU banking sector. It showed that competent authorities across the 28 EU Member States have reported that 39 institutions use ‘role-based' or ‘market value' allowances on top of fixed remuneration.

EXCLUSIVE: Management information needs to inform on four key areas post-RDR, Neil Walkling of Bovill tells 2014 PAM Annual Operations Dinner 16/10/2014
In the post Retail Distribution Review (RDR) world, management information at wealth management firms must include four key areas to ensure a firm is keeping within the spirit and rules of the new regulation, Neil Walkling, consultant and conduct risk specialist at Bovill told the 2014 PAM Annual Operations Dinner earlier this week (14/10/2014)

Swiss regulator publishes fully revised Collective Investment Schemes Ordinance 14/10/2014
The Swiss Financial Market Supervisory Authority FINMA will put its fully revised Collective Investment Schemes Ordinance into effect on 1 January 2015.

FCA bans directors of wealth management firm for client money abuses 09/10/2014
The Financial Conduct Authority has fined and banned David Gillespie, managing director, and David Welsby, finance director, of stockbroking and wealth management firm Pritchard Stockbrokers for "serious failings" in relation to the protection of client money.

'Regulation can become its own enemy,' says Nedbank Private Wealth head 08/10/2014
Tick box regulation culture could cause the private banking industry to lose sight of the clients’ needs according to Greg Horton, executive head Nedbank Private Wealth - International.

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.

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.

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.

 
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