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FCA fines Chase de Vere over Keydata products 18/11/2014 The Financial Conduct Authority (FCA) has fined Chase de Vere Independent Financial Advisers (Chase de Vere) £560,000 for failures surrounding the sale of Keydata products.
Chinese markets open up to investors for the first time 17/11/2014 Analysts mull the significance of Shanghai-Hong Kong Stock Connect, launched today Are fines and compensation payments now ‘normal' business costs for banks and financial institutions? 14/11/2014 Another week and another announcement about the latest set of fines to be levied on big global banks (see thewealthnet 12/11/2014). So far the global banking sector has had to pay around £200 billion in fines and settlement fees according to some estimates for a wide range of misdemeanours over the past six years. FCA fines five banks £1.1 billion for currency dealing failings 12/11/2014 The Financial Conduct Authority has imposed fines totalling £1.1 billion on five leading banks for failing to control business practices in their G10 spot foreign exchange trading operations.
Hong Kong and Shanghai stock deal to launch next week 10/11/2014 The Securities and Futures Commission (SFC) and the China Securities Regulatory Commission (CSRC) have approved the launch of the Shanghai-Hong Kong Stock Connect pilot scheme. Wealth management and social media – discover what the sector and the FCA thinks 03/11/2014 The Financial Conduct Authority (FCA) will be amongst the participants in the panel discussion at the second annual Social Media Forum organised by PAM Insight and Citigate Dewe Rogerson. Network of financial advisers fined for fourth time by FCA 31/10/2014 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)
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