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Showing 1 - 10 of 69 results for "FCA"

Multi-boutique adds partner

KANIKA SOOD  |  FRIDAY, 26 MAR 2021
... 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 ...

Ignition Advice enters UK market

ELIZA BAVIN  |  FRIDAY, 26 FEB 2021
... 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 ...

Link flags PEXA listing

KARREN VERGARA  |  THURSDAY, 25 FEB 2021
... fund progresses. Some £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 ...

Woodford flags comeback

KARREN VERGARA  |  WEDNESDAY, 17 FEB 2021
... 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 ...

QBE takes final hit in FCA test case

ELIZA BAVIN  |  MONDAY, 18 JAN 2021
... 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 ...

Charles Schwab fails consumers, cops fine

KARREN VERGARA  |  TUESDAY, 22 DEC 2020
... 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 ...

Advisers should service cashed-up investors: FCA

KARREN VERGARA  |  FRIDAY, 4 DEC 2020
... 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 ...

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
... 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 ...

Platform cancels top 50 funds list

ELIZABETH MCARTHUR  |  TUESDAY, 5 MAY 2020
... 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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