FCA enforcement investigation proposal is ‘radical departure’ from norm, warns AIMA
In response to FCA’s proposal to release enforcement investigation information before a decision is made
Compliance
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Five ‘significant shifts’ in financial advice to expect by 2028
Nextwealth has published a report titled Future of Financial Advice
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Steps to providing ESG-compliant client portfolios
As clients become steadily more aware of ESG-related considerations, writes Alexandra Mortimer, their advisers will have to rise to the challenge of navigating this long-term theme
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Advisers warned about social media risks
While UK regulator to send out third covid-19 financial resilience survey
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Aegon rolls out fund range for advisers
It will be available via the firm’s platforms
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How will covid-19 affect SMCR compliance?
Many financial services organisations still stuck in the Dark Ages when it comes to people management
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How Spanish advisers are dealing with coronavirus
The country has been one of the worst hit by the pandemic in Europe
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2019 was a good year for UK advisers
Despite regulatory burdens and increasing costs
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Guernsey fund and directors hit with more fines
Following a second investigation into Louvre by the Bailiwick’s financial watchdog
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Goldman Sachs cannot comply with Fatca in the UK
As its platform lacks the ‘infrastructure to support people subject to US tax rules’
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UK lifeboat scheme responds to criticism over extra levies
Financial advisers angry about paying thousands more with just 30 days’ notice
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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.