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Legal, Regulation & Compliance

05/21/2024

Man sentenced over £19m unauthorised investment scheme

The FCA said Flintham lied about how the scheme was operated and the profits that he was making for his investors.

05/21/2024

Getting into the ‘grey divorce’ market

When divorcing later in life, a fair deal is more important than ever — with an adviser involved from the start

05/20/2024

Guy Flintham sentenced to 6 years for fraud over unauthorised investment scheme

On 19 February 2024, Mr Flintham pleaded guilty to fraud by false representation, following a prosecution brought by the FCA.

05/20/2024

FCA publishes details of common application shortcomings for prospective asset managers

The FCA identified a number of common errors that applicants should avoid when applying for authorisation for asset management activities.

05/20/2024

Doyle’s Guides: Payne Hicks Beach Family Team and lawyers listed the Leading London Family Law Indices 2024

Baroness Shackleton is awarded top rankings in two categories: Doyle’s Leading Family & Divorce Lawyers – London, 2024 and Doyle’s Leading High Net Worth Family Lawyers – London, 2024.

05/17/2024

Impending pension changes the hot topic at II Connect 2024 – The UAP Group

This session promises to be “both revealing and informative”

05/17/2024

Reed Smith advises Fasanara Capital on groundbreaking private credit on-chain securitisation

The real-world assets will then be used as collateral for a token issuance by the Luxembourg SPV to accredited investors in the UK and the U.S.

05/16/2024

Rules of conduct under FinSA: FINMA launches consultation on new circular

The Financial Services Act (FinSA) has been in force since the beginning of 2020.

05/16/2024

Three charged over CFD trading pension fraud

CFDs are a high-risk investment product used to bet on the price of an asset.

05/16/2024

'Finfluencers’ charged for promoting unauthorised trading scheme

CFDs are a high-risk investment product used to bet on the price of an asset, in this case the price of foreign currencies.

05/16/2024

Accountancy watchdog launches probe into UK network firm of Baker Tilly International

It noted that the investigation will be conducted by the its enforcement division under the audit enforcement procedure.

05/15/2024

New Finma director pours fuel on the UBS fire in his first speech

It made sense that Stefan Walter made his first industry appearance before the small bank symposium.

05/15/2024

ESMA Guidelines establish harmonised criteria for use of ESG and sustainability terms in fund names

The Guidelines establish that to be able to use these terms, a minimum threshold of 80% of investments should be used to meet environmental, social characteristics or sustainable investment objectives.

05/14/2024

Industry reacts to pensions dashboards delays report

The National Audit Office launched a year-long investigation into the delays in the delivery of the PDP following a request from parliament last summer.

05/13/2024

EU Policy. How Europe's most vulnerable are hindered from opening bank accounts

In Romania, around three out of ten people over 15 did not own a bank account in 2021, while in Bulgaria and Hungary the number of unbanked people ranged from 12% to 16%.

05/13/2024

Taheer Sardar convicted for providing a forged document to FCA investigators in a £1.3m boiler room fraud investigation

Mr Sardar was interviewed by the FCA as part of an investigation it was conducting into a sophisticated boiler room scam that had defrauded 120 investors of £1.3m.

05/13/2024

UK ‘cookie law’ enforcement not dependent on complaints

The fact that no complaints were made to the ICO by individuals who received emails from JTT formed a core component of JTT’s appeal.

05/10/2024

A&O Shearman advises on six high yield deals in first week post-merger

Strong market technicals, driven by built-up demand and limited new money supply, pushed spreads down, with several deals pricing inside initial price talk.

05/10/2024

Building our societies through lending and savings

They must embrace technology and continue to evolve without losing their community-centred credentials

05/10/2024

Record number of local data breaches reported in single quarter

This is the highest number ever reported in one quarter, with 1,536 people affected.

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