Compliance
Best Practice | 2 Feb 18
Novia rolls out Mifid II compliance reporting tool
To meet Mifid II’s so-called “10% depreciation rule”, Novia Financial is rolling out a solution for DFMs and advisers using its platform.
Advisers working overtime to meet regulation requirements
Two out of five UK advisers are working longer hours in 2017 due to business growth, increased compliance and regulatory requirements, research from Prudential has found.
Tax & Technical | 20 Nov 17
Jersey and IoM join 19 jurisdictions rated ‘compliant’ by OECD
Jersey and the Isle of Man have topped the Organisation for Economic Cooperation and Development’s compliance table for the exchange of tax information.
Tax & Regulation | 23 Aug 17
FCA finds compliance officer with 20-yr record unfit for role
The Financial Conduct Authority has refused to let a compliance officer with nearly 20 years of experience carry out certain controlled functions on behalf of online trader Goldenway Global Investments.
Tax & Regulation | 14 Jul 17
FCA fines compliance officer for pension transfer failings
The UK watchdog has fined a compliance oversight officer after two companies he worked for gave unsuitable advice to around 500 customers who transferred £12.7m ($16.4m, €13.6m) out of their DB pension schemes.