Search ResultsShowing 1 - 10 of 45 results for "Financial Conduct Authority"
UK regulator fined for pension failure
HARRISON WORLEY  |  TUESDAY, 28 JAN 2020
... include sufficient information in a chair's statement to members of its staff pension plan. The Financial Conduct Authority (FCA) has been fined £2000 by UK pension scheme authority, The Pension Regulator (TPR). A list of enforcement activities ...
UK pension fund expands offering, climate risk policy
JAMIE WILLIAMSON  |  TUESDAY, 7 JAN 2020
... pension fund modelled on the Australian superannuation system has received authorisation from the Financial Conduct Authority to operate as an Occupational Pension Scheme. It is also intensifying efforts to tackle the risks posed by climate change. Nest ...
YouTube fundie name erased from flagship
ELIZABETH MCARTHUR  |  TUESDAY, 17 DEC 2019
... eligible to a fee of 15% of any excess returns above a NAV per share of 77p. Meanwhile, the UK's Financial Conduct Authority released its latest Financial Stability Report. In the report, the policy committee found that greater consistency between ...
AFCA reveals approach to Code of Ethics compliance
JAMIE WILLIAMSON  |  FRIDAY, 29 NOV 2019
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 ...
Chief executive banned for paying wife
ELIZABETH MCARTHUR  |  TUESDAY, 19 NOV 2019
... 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 ...
Pensioners lose decades of savings in 24 hours
ELIZABETH MCARTHUR  |  THURSDAY, 14 NOV 2019
... 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 ...
Broker fined for lavish entertainment
ELIZABETH MCARTHUR  |  MONDAY, 14 OCT 2019
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 ...
UK insurer fined for annuity sales failings
ELIZA BAVIN  |  TUESDAY, 1 OCT 2019
... 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 ...
Research budgets shrink at UK asset managers
KANIKA SOOD  |  FRIDAY, 20 SEP 2019
... 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 ...
APRA opens margin requirement talks
HARRISON WORLEY  |  THURSDAY, 15 AUG 2019
... 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 ...
PAGE:
1
PREVIOUS
NEXT
Link to something QRJ5PHzP