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Showing 1 - 10 of 72 results for "Financial Conduct Authority"

UK regulator introduces diversity rules for listed entities

JAMIE WILLIAMSON  |  THURSDAY, 21 APR 2022
The UK's Financial Conduct Authority has finalised its rules for listed companies when it comes to disclosure of diversity on boards and executive committees. Under the rules, the boards of listed entities must comprise 40% women and at least one of ...

GAM loses insto mandate

JAMIE WILLIAMSON  |  THURSDAY, 31 MAR 2022
... head of GAM Fund Management Services Sean O'Driscoll said. In a separate matter, the UK's Financial Conduct Authority released details of the $16 million fine it handed GAM in December 2021 for failing to adequately manage conflicts of interest ...

Regulators fret over hobby traders

ELIZABETH MCARTHUR  |  WEDNESDAY, 23 MAR 2022
... through capital markets is a positive development for the overall economic progress". It cites a UK Financial Conduct Authority paper which found that many consumers would benefit from investing a portion of savings rather than simply holding cash - ...

Morningstar to buy Praemium for $65m

CHLOE WALKER  |  WEDNESDAY, 22 DEC 2021
... international employees." Completion of the transaction remains subject to regulatory approval from the Financial Conduct Authority in the United Kingdom and the Jersey Financial Services Commission in Jersey, and other customary conditions. Morningstar ...

Longo's ASIC less aggressive: Report

ELIZABETH MCARTHUR  |  FRIDAY, 10 DEC 2021
... Australia's softening regulatory approach is out of line with what is happening overseas. The UK's Financial Conduct Authority (FCA) announced that it intends to test its powers to the limit and use criminal powers, taking on a bolder appetite in dealing ...

Carlyle Group bids for Link

ANNABELLE DICKSON  |  FRIDAY, 5 NOV 2021
... corporate director, overseeing it on behalf of investors. Leigh Day claims that Link was in breach of Financial Conduct Authority rules in the way it managed and monitored the fund, which ultimately led to the fund's collapse, causing ordinary investors ...

Link vows to fight class action

KARREN VERGARA  |  WEDNESDAY, 29 SEP 2021
... prepared to defend the company against any proceedings. Leigh Day claims that Link was in breach of Financial Conduct Authority rules in the way it managed and monitored the fund, which ultimately led to the fund's collapse, causing ordinary investors ...

Kiwi markets regulator names new chief

KARREN VERGARA  |  TUESDAY, 14 SEP 2021
... Reserve Bank of New Zealand and worked at the Financial Services Authority in London (now known as the Financial Conduct Authority). "Samantha Barrass brings deep international regulatory experience and leadership skills to the role. She has had a very ...

Fund managers failing value assessments: FCA

KARREN VERGARA  |  THURSDAY, 8 JUL 2021
... financial services regulator reveals. A review of 18 fund managers between July 2020 and May 2021 by the Financial Conduct Authority found that active managers do not seriously consider how their investment policy, strategy and fees work together to ...

UK bans crypto exchange Binance

ELIZABETH MCARTHUR  |  MONDAY, 28 JUN 2021
The UK Financial Conduct Authority has banned well-known and popular crypto exchange Binance from operating in its jurisdiction. Binance, which is Cayman Islands domiciled, claims to be the biggest Bitcoin exchange and alt-coin cryptocurrency exchange ...
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