04/16/2024
Before applying for authorisation, firms wishing to operate in the asset management sector should consider the points below, alongside the relevant information for your type of firm.
04/16/2024
This will help ensure firms are able to act promptly to resolve complaints if we decide the pause should be lifted and complaint handling should resume.
04/16/2024
Advisers should expect continued scrutiny by the regulator regardless of the name of the regime under which they come
04/16/2024
The PRA states it is issuing the statement to respond to clarifications requested by firms
04/15/2024
Chris Smalling is suing Klipp Wealth Management, a representative of SJP, for £750,000, alleging it failed to accurately disclose fees.
04/15/2024
The PRA will seek to ensure that no unintended changes are made to the PRA’s policy on assets which are considered to have ‘fixed’ cash flows.
04/15/2024
The 2024 Workplan refreshes the 2023-2024 IOSCO Work Programme.
04/12/2024
FHL owners who are individuals enjoy tax advantages unavailable to owners of standard property rental businesses.
04/12/2024
Given the Federal Reserve is now expected to resist making any cuts for some time yet, and the Bank of England faces a difficult balancing act, the ECB could well be the first to make a move.
04/12/2024
In a separate action, the FCA has issued warning notices to Neil Woodford and WIM proposing to take action against them for their conduct in the management of the WEIF.
04/12/2024
The provider of digitally processed rental deposits has filed a lawsuit against the Swiss subsidiary of the Italian financial group at the Bern Commercial Court.
04/12/2024
Under the Digital Operation Resilience Act (DORA), and starting from 2025, financial entities will have to maintain registers of information regarding their use of ICT third-party providers.
04/11/2024
Banking stability: Federal Council wants to close gaps in too-big-to-fail regulation
04/11/2024
More than five million have missed payments recently, though that’s an improvement from the previous year.
04/11/2024
Regulator claims fund manager Neil Woodford had a defective and unreasonably narrow understanding of his responsibilities.
04/11/2024
The 2024/25 Business Plan sets out the workplan for each of the PRA’s strategic priorities, together with an overview of the PRA’s budget for 2024/25.
04/10/2024
The FCA has repeated its guidance that financial promotions must be standalone compliant, irrelevant of the media used
04/10/2024
As a business we are increasingly seeing the positive role private equity can play on a soft market and the London office market is a natural target.
04/10/2024
Scottish Widows was contacted by the company owner once again to flag his company did not have a policy with the provider and was sent the cheque by mistake.
04/10/2024
Now the FCA has proposed giving asset managers greater freedom in how they pay for research, supporting their investment decisions.