07/14/2017
Mr Watters also failed to take reasonable steps to ensure that advisers were properly monitored to reduce the risk of unsuitable ETV pension transfer advice being given to customers.
07/14/2017
The UK government has announced it will introduce long-anticipated changes to the rules governing non-UK domiciles “as soon as possible”, after they were postponed earlier this year because of the snap election.
07/14/2017
The average respondent envisaged a 13% increase.
07/14/2017
ESMA consultation on MiFID II suitability requirements
07/14/2017
Our position as the most well-represented firm is a testament to our sustained efforts at building an international business that serves every legal need of our clients.
07/14/2017
Watchdog warns smaller lenders are trailing larger rivals in preparing for new rules
07/14/2017
Some high-profile investors fear a weakening of safeguards for the UK stock market
07/14/2017
In its own representation to the FCA against the decision.
07/14/2017
The FCA retains the view that any system that merely receives, pools, aggregates and broadcasts indications of interest, bids and offers or prices should not be considered a multilateral system
07/13/2017
Who led the banking and finance team at Locke Lord, brings significant experience in cross-border and domestic corporate finance.
07/13/2017
Report by regulator flags up widespread withdrawal under pension freedoms, as TUC says millions could face financial insecurity
07/13/2017
The Isle of Man financial regulator is taking action against anti-money laundering and terrorist financing with new guidance rules aimed at “avoiding a tick-box approach” to assessing the risk of customer involvement in such activities.
07/13/2017
Managed assets are acting more like index trackers, according to research
07/13/2017
FCA interim report: Retirement outcomes review
07/13/2017
The Listing continues to provide reputable recognition and is a testament to the commitment of our lawyers to achieve the best results for our clients.
07/13/2017
Watchdog says its strategy is ‘no longer appropriate’ to regulate the industry
07/13/2017
Too many recruitment agencies still have their head in the sand when it comes to the potential severity of the punishments on offer
07/13/2017
The total FSCS compensation costs in 2016/17 were £375 million, in response to nearly 37,000 claims.
07/12/2017
Consumers who access their pots early without taking advice typically follow the ‘path of least resistance’, accepting drawdown from their current pension provider without shopping around.
07/12/2017
Hong Kong's Securities and Futures Commission and France's Autorité des Marchés Financiers have signed a memorandum of understanding linking their mutual fund markets.