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Legal, Regulation & Compliance

06/06/2023

Three IFA firms forced to withdraw offers to former BSPS members

FCA is ‘seriously concerned’ that they ‘were not calculated’ in line with its guidance

06/06/2023

UBS Expects to Ink Government Loss Guarantee Tomorrow

That agreement, which is one of the final pieces of the puzzle that needs to be completed for the takeover, is expected to be finalized tomorrow

06/05/2023

Financial watchdog bans referral fees for debt packagers to help struggling consumers

It will put a stop to the business model which incentivises debt packagers to recommend certain options that make them more money rather than what is in the customer’s best interest.

06/05/2023

How the FCA’s new Consumer Duty impacts UK pension scheme buy-outs

This will further strengthen the regulatory regime that applies to insurers and the protection it offers to bought out members.

06/05/2023

FCA fines ED&F Man Capital Markets Ltd £17.2m for serious failings which enabled millions in illegitimate tax reclaims

It is established that £20m of the WHT reclaims made by MCM’s clients to the Danish tax authority (SKAT) were illegitimate.

06/02/2023

ESAs put forward common understanding of greenwashing and warn on risks

The ESAs also highlight that sustainability-related misleading claims can occur and spread either intentionally

06/02/2023

FCA approves prospectus of Rathbones’ merger with Investec W&I

The regulator has given the go-ahead to prospectus and shareholder circular of the deal between Rathbones and Investec W&I to create a £100bn wealth giant.

06/02/2023

Charity tax: HMRC launches consultation on tackling abuse

The consultation identifies four areas of tax compliance in which the rules are currently “not working as intended”

06/02/2023

FCA bans referral fees for debt packagers to help struggling consumers

Firms representing two thirds of the market in customer numbers have either left or suspended their activities, since the FCA first raised concerns in July 2021.

06/01/2023

Changes to credit union legislation in Great Britain

This page explains the changes assuming they go ahead as currently drafted.

06/01/2023

Addleshaw Goddard: Financial Services & Banking News

The FCA expects to publish a notice under Article 23C(2) of the Benchmarks Regulation on 1 July 2023

06/01/2023

EU regulators present common understanding of greenwashing and warn on related risks

The ESAs also highlight that sustainability-related misleading claims can occur and spread either intentionally or unintentionally and in relation to entities and products that are either under or outside the remit of the EU regulatory framework.

06/01/2023

Administrators find £81m potential shortfall in WealthTek client money as director's assets frozen

The Financial Conduct Authority says it is investigating the firm and its founder John Dance over potential regulatory breaches relating to client money and custody assets, and criminal offences of fraud and money laundering.

05/31/2023

Withers tech represents Molten Ventures in £10 million Series A round for digital workflow business Zaptic

Zaptic's no-code platform helps manufacturers to digitise operations, applying AI to maximise productivity in workflow processes.

05/31/2023

Withers tech represents Molten Ventures in £15 million Series B funding of quantum computing firm Riverlane

Riverlane is developing solutions to quantum computing technology, including error correction that makes data processing more reliable.

05/31/2023

Impact of ‘headline-grabbing’ English rent reform Bill ‘remains to be seen’

The Bill would abolish assured shorthold tenancies, creating a single system of periodic fixed-term assured tenancies.

05/31/2023

FCA removes permissions of advice business

Company had ‘not been open and co-operative’ with the regulator

05/31/2023

Home REIT internal probe fails to reassure shareholders as board faces resignation calls

Board oversight concerns

05/30/2023

Charity land disposals: new law is coming into force

Third Sector magazine has reported research that the number of fundraising jobs advertised as offering hybrid working has grown by 900 per cent since before the pandemic.

05/30/2023

Apex Group sets out Ireland expansion plans with the creation of new jobs at Limerick office

This announcement follows continued organic and acquisitive growth for Apex Group in Ireland, including the recent client win of Boston Partners for Management Company Services and planned acquisition of the Irish depositary business of Bank of America.

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