Search Results | Showing 101 - 110 of 273 results for %22Financial Conduct Authority%22 |
| | | The Financial Conduct Authority is reassessing how it should authorise and supervise foreign firms providing financial services in the UK as the Brexit transition period ends. The FCA announced it launched the consultation process in anticipating an ... |
| | | | Digital innovation could be the answer to tackling product-choice confusion and reducing red tape in the financial advice sector, according to an academic. Pamela Hanrahan, a lawyer and professor at University to New South Wales Business School, told ... |
| | | | Following requests from financial advisers, FASEA has provided relief from compliance with its continuous professional development (CPD) requirements. FASEA will now grant advisers an extra three months to meet its 40 hour CPD requirement. "FASEA recognises ... |
| | | | ... firm's London office before relocating to Australia. Prior to that, Henry was a regulator at the UK's Financial Conduct Authority, focussing on conduct in retail banks, and was seconded in-house at a UK retail bank. Henry's focus will be on the financial ... |
| | | | The Financial Adviser Standards and Ethics Authority has cancelled the scheduled April adviser exam, with advisers set to take it online as the COVID-19 pandemic rolls on. FASEA has been forced to cancel its April face-to-face exams. Recognising the ... |
| | | | ... are not privy to the thinking of other funds who lend their stock," he said. On Friday, the UK's Financial Conduct Authority temporarily prohibited short selling of certain Italian stocks in a bid to calm the market after Milan's stock market ... |
| | | | ... measures, including sending some employees home so that cleaning could occur in certain parts of the offices. The Australian Financial Review reported that Westpac had evacuated floors and Daily Mail Australia reported the suspected cases had forced ... |
| | | | ... APRA welcomes ASIC having an expanded role in regulating the superannuation sector. "As the conduct regulator of the financial sector, ASIC has a critical role to play in tackling misconduct in superannuation, while APRA will continue to strengthen its ... |
| | | | A former Macquarie Group financial adviser has been permanently banned from the industry, following an ASIC investigation into the adviser's "dishonest" and "misleading" behaviour. ASIC has permanently banned Queensland-based adviser, Warren Scott ... |
| | | | A Sydney-based financial adviser has been permanently banned for allegedly transferring client SMSF funds to the trust account of a business she controlled. ASIC has permanently banned Sydney adviser Tram Tran, after it found the funds of her clients ... |
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