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According to the FCA, the UK-headquartered asset manager broke rules designed to limit investors’ exposure to risk on more than 33 occasions across more than 15 of its funds, accounting for more than 70% of the firms’ total £47bn in assets under management.
Here, International Adviser highlights several other instances where regulators have publically shamed the companies that refused to play by the rules.
Associate director added to London financial planning team
New product framework for CCIs, including investment trusts, aims to simplify information for retail investors
Allegations of fraud and money laundering
Cheshire-based Efinity Wealth among the new appointed representatives
The Consumer Price Index rose yet again in November as fuel costs increased, making an interest rate cut unlikely
Just a third of active funds outperform passive across a decade
