|Search Results||Showing 1 - 10 of 42 results for "Financial Conduct Authority"|
|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 ...|
|... 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 ...|
|... victims lost in 2018 amounts to 22 years of savings. As part of a campaign called ScamSmart, the UK Financial Conduct Authority and The Pensions Regulator have revealed £82,000 (AU$154,202) is the average amount victims of pension scams lost in ...|
|The Financial Conduct Authority 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 ...|
|... failing to advise customers they may receive a better deal on annuities if they shopped around. The Financial Conduct Authority said Prudential failed to ensure that customers were "consistently informed" that they may get a better deal and failed to ...|
|... millions in benefits to investors, according to the UK financial authority's review of MiFID II. The Financial Conduct Authority yesterday published findings from its review of a sample set of firms, after MiFID II's roll out on 3 January 2018. Asset ...|
|... prudential regulator proposes to add its UK counterpart, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority to the list of foreign bodies eligible for substituted compliance with APRA's margin requirements in CPS 226 after ...|
|... with a £30.8 million ($54.9m) fine by the UK regulator for hawking non-advised annuities. The Financial Conduct Authority found SLA offered its call centre staff "significant bonuses and rewards" if they exceeded targets for selling annuities to ...|
|The UK's Financial Conduct Authority has criticised Neil Woodford who famously issued a tearful YouTube apology to investors whose money was frozen in one of his funds. Woodford Investment Management suspended trading in its Woodford Equity Income Fund ...|
|The UK's Financial Conduct Authority (FCA) has opened an investigation into the events surrounding the suspension of the Woodford Equity Income Fund, with Link Group now caught in the scandal. Earlier this month, star UK fund manager Neil Woodford took ...|
The executive manager of operations at a $17 billion industry superannuation fund resigned recently, with a replacement yet to be appointed.
Clime Investment Management has partnered with Sequoia to launch a new fund that aims to provide a yearly income of 8%.
A three-day trial has been scheduled for the landmark case brought against Rest by member Mark McVeigh.
A retail superannuation fund has dropped the investment fees on three options by 10 bps to 19 bps, with its chair saying the cuts will help it be more competitive.
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