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Showing 31 - 40 of 70 results for "Financial Services Authority"

Wingate appoints senior analyst

COMPANY RELEASE  |  TUESDAY, 24 NOV 2009
... Series 17 and 63 registration with the Securities and Exchange Commission (SEC) in the US; and is a Financial Services Authority (FSA) registered representative in the UK. Wingate Asset Management is a joint venture with Australian Unity Investments ...

HSBC's chief moves to Hong Kong

COMPANY RELEASE  |  MONDAY, 28 SEP 2009
... executive directors, Douglas Flint and Stuart Gulliver, will continue to be based in London. The UK Financial Services Authority remains the lead regulator of the group. The group chief executive, who will move to Hong Kong from 1 February 2010, will ...

Regulators tighten grip on hedge funds

RUTH LIEW  |  MONDAY, 21 SEP 2009
The US' Securities and Exchange Commission and UK's Financial Services Authority have announced plans to explore common reporting and regulations of hedge funds - developments that could set the template for Australian hedge fund regulation. The two ...

FSA fines firm for bad advice

FSA RELEASE  |  MONDAY, 14 SEP 2009
UK-based Financial Services Authority (FSA) fined a financial advice firm $27,000 for failing to match client appetite for risk with appropriate investment products. The regulator found the Henry Neil practice advised clients to sell segments of existing ...

UK pension and fundies to drive long-termism

MICHELLE BALTAZAR  |  WEDNESDAY, 29 JUL 2009
... exceeded 10 per cent," the Review said. Among the recommendations were that the UK regulator, the Financial Services Authority, should be able to call major selling shareholders to find out why they are divesting their holding. The rationale is that ...

The quest for independent advice

MICHELLE BALTAZAR  |  FRIDAY, 26 JUN 2009
... industry, with experts divided on how far the industry has come and where the real problems lie. The Financial Services Authority's (FSA) new proposals are set to transform the UK planning industry but, according to some experts, the reforms would be ...

UK planners face new advice regime

MICHELLE BALTAZAR  |  FRIDAY, 26 JUN 2009
The UK's financial services regulator, the Financial Services Authority (FSA), has proposed sweeping reforms to help consumers get 'independent advice', including an end to commission-based investment advice by 2012. The consultation paper on Retail ...

Bigger and better risk management

RUTH LIEW  |  WEDNESDAY, 24 JUN 2009
... their risk management exercises. Apama, a complex event processing platform, is also used by the Financial Services Authority in the UK. Dan Foody, vice president of Progress Actional said following the high-profile fraud cases such as last year's Societe ...

Blame the banks for the crisis

RUTH LIEW  |  FRIDAY, 12 JUN 2009
... survey showed 82 per cent of people put equal blame on the government and regulators such as the Financial Services Authority and the bank of England for the downturn. Mix that in with 64 per cent of people who have lost faith in the regulatory system. ...

CBA adds Apama software

PRESS RELEASE  |  TUESDAY, 14 APR 2009
... functionality and overall performance. ING, Deutsche Bank, The Bank of China International and the Financial Services Authority are among the technology firm's clients.