Swiss-Asia AM fined HK$3m for regulatory breaches
It failed to monitor record keeping and trading activities in discretionary accounts
Asia
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PEOPLE MOVES: Novia Financial, DWP, Nuveen
Platform COO departs, as UK government names pensions minister
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Former director pleads guilty to managing $117m Ponzi scheme
The sentencing date is yet to be arranged
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Australia delays financial adviser register
They will have an additional six months to sign up to the regulator’s portal
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PEOPLE MOVES: Openwork, Amundi, IQ-EQ
UK advice network makes c-suite changes, while investment firm hires CEO for Czech Republic
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Hansard eyes Middle East product roll out in 2023
While it reports new business fell 21%
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Perpetual rejects $1.1bn takeover offer from consortium
It is ‘committed to progressing its acquisition’ of investment advice firm Pendal Group
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Family office acquires stake in fintech firm
To bolster its development of a wealth management platform for the ‘digital future’
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Citi unveils global wealth centre in Hong Kong
It is one of the bank’s four hubs across the world
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PEOPLE MOVES: M&G, CII, One Four Nine Group
Financial services giant names wealth and advice CEO, as professional body makes c-suite change
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Law firm to expand private client practice into Singapore
It has had a presence in Hong Kong for the last five years
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PEOPLE MOVES: DWP, Transamerica Life Bermuda, T Rowe Price
Guy Opperman is back at the Department for Work and Pensions, as insurer makes c-suite change