regulation
Investment | 15 Jul 24
FCA bans ex-investment adviser over unauthorised investment sales
He was ordered by the High Court to pay to the FCA £1,207,050 for losses to investors
Regulation | 12 Jul 24
Isle of Man FSA flags future inspections and other activities in new calendar
The aim is to assist firms with their forward planning, particularly in relation to compliance matters
Regulation | 10 Jul 24
FCA actions FATF call for criminal record checks on new firm owners
Currently, the UK regulator requires only risk-based checks on some applicants
Tax & Regulation | 9 Jul 24
New government plan to plug revenue gap via non-doms likely to fall short say experts
Overall tax take (a combination of Income Tax, CGT and National Insurance contributions) was flat at £12.3bn
Regulation | 8 Jul 24
FCA cautions adviser firms over challenges of overseeing overseas representatives
Advisers should consider terminating agreement with overseas appointed reps if they ‘cannot adequately monitor’ their activities