Tax & Regulation
Swiss private bank has Cayman Islands licence revoked
Regulator says it failed to appoint appropriate directors and meet AML protocols
‘Significant shortfalls’ for investors of failed mini-bond firm
Company only had £906 in its bank account when it entered administration
7 advice firms hit with FCA skilled-person reviews since 2017
They had to collectively fork out over £300,000 to pay for the investigations
DB transfer contingent charging ban branded ‘confusing’
Overseas firms ‘exempted’ but non-FCA advisers shouldn’t be signing off pension transfers, says one CEO
Collapsed wealth firm sells client book
After entering administration in August 2019