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|Showing 1 - 10 of 69 results for "FCA"|
|... London-based private markets manager. Pacific Current Group (PAC) has received approval from UK's Financial Conduct Authority (FCA) to invest in Astarte Capital Partners, after entering a purchase agreement on December 24. PAC is paying GBP4.4 million ...|
|... firms," Miles said. "As part of the move into the UK, we are further localising all products for the UK market, over layering UK FCA regulatory standards to meet the needs of British clients." David Hempson will join the company as its new business development ...|
|... fund progresses. Some Â£2.54 billion ($4.5 billion) of capital has been returned to investors as at 31 December 2020. "As the FCA investigation is an ongoing and confidential process, Link Group cannot speculate or make any further comment on it. As ...|
|... was forced to act after Woodford announced that his new investment firm is in the works, reportedly operating out of Jersey. FCA director of enforcement and market oversight Mark Steward said Woodford has not applied for appropriate permissions to commence ...|
|... wording issues, losing its appeal bid in the High Court. The test case was launched by the UK Financial Conduct Authority (FCA) to resolve legal issues concerning the interpretation of common business interruption policy wordings, in relation to whether ...|
|... compliance failures, the UK's Financial Conduct Authority has found, noting the two-year breach period to April 2019. The FCA determined CSUK did not adequately protect client assets by way of poor recordkeeping, failing to reconcile holdings, and not ...|
|... contingent on an advice market that offers a broader range of consumer support services so they have the confidence to invest, the FCA found. Complaints made about dodgy financial advisers have dropped by more than a quarter (25%), from 2197 in 2016-17 ...|
|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 ...|
|... 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 increase in the number of international firms seeking ...|
|... the Hargreaves Lansdown platform. Possibly contributing to the platform's decision to axe the top 50 list, in February the FCA wrote to chief executives of platforms about conflicts of interest. "Firms operating Best Buy lists must construct them impartially ...|
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Macquarie Securities Australia (MSA) has copped a $126,000 fine for breaching market integrity rules, making this its fifth infringement in the last six years.
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IOOF has handed a $23 billion index investing mandate to a global investment manager following Vanguard's decision to stop managing passive strategies for other institutions.
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Addressing the annual Conference of Major Superannuation Funds, the Prince of Wales has asked Australia's super funds to get involved in his Sustainable Markets Initiative.
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Nearly seven in 10 Australians who dipped into their superannuation during COVID-19 are concerned the decision has made them less financially secure, according to a poll from the Australian Institute of Superannuation Trustees.
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