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Showing 11 - 20 of 62 results for "Financial Conduct Authority"

NAB names RBS alumnus as chief operating officer

ANNABELLE DICKSON  |  WEDNESDAY, 2 DEC 2020
... Pacific. He was formerly the deputy chair of the Australian Banking Association, deputy chair of the UK Financial Conduct Authority practitioner panel and a director of Visa Europe. Matheson said he is very pleased to be returning to Australia and join ...

Three advisers banned for non-financial crimes

ELIZABETH MCARTHUR  |  FRIDAY, 6 NOV 2020
The UK's Financial Conduct Authority (FCA) has banned three people from working in financial services due to sex offences they had committed. The FCA's decision to ban the three individuals comes after Megan Butler, executive director of supervision ...

FCA reviews regulation of foreign financial services firms

KARREN VERGARA  |  FRIDAY, 25 SEP 2020
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 ...

Law firm bolsters financial services team

ELIZA BAVIN  |  FRIDAY, 15 MAY 2020
... 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 ...

UniSuper suspends stock lending

JAMIE WILLIAMSON  |  MONDAY, 16 MAR 2020
... 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 ...

UK regulator fined for pension failure

HARRISON WORLEY  |  TUESDAY, 28 JAN 2020
... include sufficient information in a chair's statement to members of its staff pension plan. The Financial Conduct Authority (FCA) has been fined £2000 by UK pension scheme authority, The Pension Regulator (TPR). A list of enforcement activities ...

UK pension fund expands offering, climate risk policy

JAMIE WILLIAMSON  |  TUESDAY, 7 JAN 2020
... pension fund modelled on the Australian superannuation system has received authorisation from the Financial Conduct Authority to operate as an Occupational Pension Scheme. It is also intensifying efforts to tackle the risks posed by climate change. Nest ...

YouTube fundie name erased from flagship

ELIZABETH MCARTHUR  |  TUESDAY, 17 DEC 2019
... eligible to a fee of 15% of any excess returns above a NAV per share of 77p. Meanwhile, the UK's Financial Conduct Authority released its latest Financial Stability Report. In the report, the policy committee found that greater consistency between ...

AFCA reveals approach to Code of Ethics compliance

JAMIE WILLIAMSON  |  FRIDAY, 29 NOV 2019
The Australian Financial Conduct Authority has outlined its approach to assessing financial planner conduct in relation to the Code of Ethics. Speaking at the FPA Congress, AFCA deputy chief ombudsman June Smith said the body will take a measured and ...

Chief executive banned for paying wife

ELIZABETH MCARTHUR  |  TUESDAY, 19 NOV 2019
The chief executive of a small mutual insurer has copped two large fines and a ban from the UK's Financial Conduct Authority and Prudential Regulation Authority after he paid his wife close to $400,000 to reduce his personal tax liability. Stuart Forsyth ...