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Regulation
 
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Wells Fargo businesses fined $1.5m for not checking client IDs 19/12/2014
US regulators have fined Wells Fargo Advisers and Wells Fargo Advisers Financial Network $1.5 million for failing to check account holders identities.

European Parliament agrees action against anonymous shell companies 18/12/2014
The ultimate owners of companies would have to be listed in central registers in EU countries, accessible to people with a "legitimate interest", such as investigative journalists and other concerned citizens, under a deal just struck by Parliament and EU Council negotiators on a draft EU anti-money laundering directive.

Wealth management firms still leaving themselves vulnerable over fees, says regulation consultancy firm 17/12/2014
Wealth management firms are still leaving themselves vulnerable to regulatory action by failing to meet the FCA’s expectations on fee disclosure, according to Bovill, a specialist financial services regulatory consultancy.

FCA declares RDR is working, though no fall in adviser charges 16/12/2014
The Financial Conduct Authority (FCA) has declared that the Retail Distribution Review (RDR) is working successfully although the regulator still has concerns about the way some firms are introducing its sweeping reforms of the investment advice industry, particularly for charges.

Investment managers fear regulatory changes will increase costs, study finds 15/12/2014
Asset managers, pension funds, banks and insurers expect to be spending more on tax and regulatory-related change in 2015 and for some years beyond, according to a new poll by BNY Mellon, a global leader in investment management and investment services.

RiskSystem CEO warns investment managers on Annex IV regs 15/12/2014

Former Blackrock 'Cannon Street ticket dodge' executive banned 15/12/2014
The Financial Conduct Authority has banned Jonathan Paul Burrows, formerly a managing director at Blackrock Asset Management Investor Services from performing any function in relation to any regulated activities for not being fit and proper.

New legislation boosts Jersey's ‘growing hedge fund sector' 09/12/2014
Jersey’s positioning as a centre for hedge fund business is set to experience “further growth” according to Jersey Finance’s chief executive officer, Geoff Cook, following a recent change in legislation.

The XO stockbroker 'bridging the advice gap' 09/12/2014
Execution only stock broker TD Direct Investing can fill the advice gap according to its European head John Tracy.

In praise of boutiques and start-ups: and how regulators are doing their best to stifle them 09/12/2014
A new report from the New City Initiative (NCI), the London-based financial think tank launched by Stanhope Capital’s Daniel Pinto in 2010, claims that the European Union and UK regulatory systems are stymying the flow of new start-ups and boutique asset managers. This is likely to have perverse effects on competition and, by implication, the price and quality of investment and wealth management services available to consumers.

 
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