Tag: wealth management
Showing 12 out of 16 results
Megan Butler on the FCA’s response to Covid-19 and expectations for 2020
Some positive FCA feedback on conflicts of interest for Wealth Management firms
In welcome news for the industry, the FCA in late November 2014 expressed pleasure in reporting generally positive findings from its thematic review …
UK FCA proposes temporary product intervention rules for CoCos
The Financial Conduct Authority (FCA) has announced that it is proposing to use its temporary product intervention powers for the first time to restrict …
UK: Retail product distribution payments under the FCA spotlight - finalised guidance on inducements and conflicts of interest
The FCA has set an uncompromising compliance standard for what it sees as unacceptable payments from product providers to advisors in the retail …
ASIC releases another report on retail structured products
ASIC has released Report 377 "Review of advice on retail structured products", which reports in relation to a sample of personal advice given to …
Present Company Excepted? The Modern Approach to Piercing the Corporate Veil
At the recent briefing "Present Company Excepted? The Modern Approach to Piercing the Corporate Veil", Gareth Thomas (Head of Commercial Litigation, Hong …
Further enforcement action by UK FCA in relation to suitability issues in wealth management
The UK's Financial Conduct Authority (FCA) has imposed a £1,802,200 fine on AXA Wealth Services Ltd (AXA) for failing to ensure the investment …
New Hong Kong Trust Law to come into effect on 1 December 2013
On 17 July 2013, the Hong Kong Legislative Council passed the Trust Law (Amendment) Bill 2013, which will come into operation on 1 December 2013. …
UK: FCA to exclude Venture Capital Trusts from restrictions on promotion of UCIS?
The Economic Secretary to the Treasury has confirmed that the Financial Conduct Authority (FCA) is working towards publishing its final policy statement …
UK: FSA statement on CP12/19: restrictions on the retail distribution of UCIS and close substitutes
The FCA has published an update on its approach to last August’s consultation on proposed restrictions to the marketing of unregulated collective …
Australia: ASIC releases reports on capital protected products
ASIC has released two reports on ‘capital protected’ and ‘capital guaranteed’ investment products: a report that ASIC describes as a ‘health check’ on …
UK: Financial Conduct Authority (FCA)'s Risk Outlook and Business Plan for 2013 published
The FCA's Risk Outlook (FCA RO) has been published today, setting out the regulator's current thinking on conduct in financial markets by …
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