Regulation
EFAMA calls on EC to avoid applying ‘bank-like regulation’ on asset managers
Europe needs more holistic and rigorous analyses to determine where financial stability risks lie
Industry reacts as the FCA fines Barclays £40m
Both parties ‘appear to have drawn a line under the matter’
Middle East | 20 Nov 24
Qatar financial regulator fines advisory firm after ‘false claims’ investigation
The firm was not regulated to arrange deals in investments
Cyprus Securities and Exchange Commission warns against raft of unregulated entities
The regulator urged investors to consult its website before conducting business with investment firms
FCA bans duo for ‘recklessly breaching’ advice firm’s asset requirement
The firm’s bank accounts held no funds for customers who were owed redress