|Search Results||Showing 1 - 10 of 52 results for "FCA"|
|... posed by climate change. Nest Invest, the investment subsidiary of pension fund Nest, has received authorisation from the FCA to operate an Occupational Pension Scheme. An OPS undertakes investment management on behalf of a trustee or pension scheme ...|
|... sample (or vertical slice) of those assets or the time period needed for a sale which avoids a material price discount," the FCA said. "In the US, the Securities and Exchange Commission has recently adopted measures of liquidity based on this concept." ...|
|... the remuneration committee had agreed to his wife's payment increases. But in fact, it had only agreed to his salary. The FCA explained what followed: "In late 2015, after internal concerns were raised about Mrs Forsyth's remuneration, Mr Forsyth inappropriately ...|
|... victims of pension scams lost in 2018. It would take an ordinary working saver 22 years to amass that amount, according to the FCA. Despite the significant cost of scams, 24% of people surveyed admitted to deciding on a pension offer within less than ...|
|... possible. This will be done by means of a number of capital distributions made to all investors in the fund," it said. The FCA continues to investigate the activities that led to the fund's suspension.|
|... in the UK has fined Tullett Prebon £15.4 million, citing "lavish entertainment" and lack of effective controls. The FCA said Tullett Prebon, an inter-dealer broker which acts for institutional clients transacting in the wholesale markets, carried ...|
|... sales of non-advised annuities that occurred between July 2008 and September 2017 to existing Prudential pension holders. FCA's executive director of enforcement and market oversight Mark Steward said: "These are very serious breaches that caused harm ...|
|... equities funds in the first six months of 2018 after MiFID II forced them to reconsider their research arrangements. The FCA said the reforms have forced portfolio managers to fund research out of their own revenues instead of passing them on to clients. ...|
|... get financial advice. Nearly 22% of sales staff received more than 100% of their base salary in bonus payments, leading the FCA to believe call handlers would place their own financial interests ahead of the customer. The firm failed to provide some ...|
|... Executive Committee. The appointment will be effective 9 September 2019 and, as she will be based in London, is subject to FCA regulatory approval in the UK.|
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Close to a third of wealth management organisations are looking to boost staff numbers this year, with sales roles expected to be most in demand.
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Spaceship has boosted its executive team through the appointment of three executives, including a former leader of Macquarie and Bennelong Asset Management.
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A man who was jailed over a hedge fund collapse dyed his hair and grew a beard in an attempt to go unrecognised as he launched a new bitcoin scheme.
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A $5.3 billion industry superannuation fund has appointed a new chair as the incumbent bows out after almost two decades on the board.
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