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Regulation

Industry warns worse is to come as UK nears double-dip recession
Industry warns worse is to come as UK nears double-dip recession

  • Regulation
  • 15 January 2021
FCA warns pandemic puts 4,000 financial firms at risk of failing
FCA warns pandemic puts 4,000 financial firms at risk of failing

  • Regulation
  • 07 January 2021
FCA slaps Charles Schwab UK with £9m fine over compliance failures
FCA slaps Charles Schwab UK with £9m fine over compliance failures

  • Regulation
  • 21 December 2020
FATF removes Bahamas from 'increased monitoring' list
FATF removes Bahamas from 'increased monitoring' list

  • Regulation
  • 21 December 2020
FCA orders Blue Gate Capital to pay Connaught investors £200k
FCA orders Blue Gate Capital to pay Connaught investors £200k

  • Regulation
  • 18 December 2020
Feature: How Labuan IBFC stayed on track throughout the pandemic
Feature: How Labuan IBFC stayed on track throughout the pandemic

  • Regulation
  • 18 December 2020
FCA vows to change after damning LCF and Connaught reports
FCA vows to change after damning LCF and Connaught reports

  • Regulation
  • 18 December 2020
FCA fines and prohibits hedge fund CIO £100k
FCA fines and prohibits hedge fund CIO £100k

  • Regulation
  • 15 December 2020
Read our special report on Labuan IBFC, gateway to Asia
Read our special report on Labuan IBFC, gateway to Asia

  • Regulation
  • 14 December 2020
Labuan IBFC approves record number of fintech licences in 2020
Labuan IBFC approves record number of fintech licences in 2020

  • Regulation
  • 11 December 2020
FCA fines advisory firm £107k for 'unsuitable pension advice'
FCA fines advisory firm £107k for 'unsuitable pension advice'

  • Regulation
  • 10 December 2020
FCA confirms speculative mini-bond mass-marketing ban
FCA confirms speculative mini-bond mass-marketing ban

  • Regulation
  • 10 December 2020
US orders Swiss banks to disclose non-compliant FATCA accounts
US orders Swiss banks to disclose non-compliant FATCA accounts

  • Regulation
  • 08 December 2020
FCA warns of 'significant' advice price clustering
FCA warns of 'significant' advice price clustering

  • Investments
  • 04 December 2020
Head of Malta's regulator resigns following expenses scandal
Head of Malta's regulator resigns following expenses scandal

  • Regulation
  • 26 November 2020
Biden given green light to begin transition as Dow breaks 30,000 for first time
Biden given green light to begin transition as Dow breaks 30,000 for first time

  • Regulation
  • 24 November 2020
UAE to allow 100% foreign ownership of businesses
UAE to allow 100% foreign ownership of businesses

  • Regulation
  • 23 November 2020
Trump bans US investors from buying 'Chinese military companies'
Trump bans US investors from buying 'Chinese military companies'

  • Regulation
  • 13 November 2020
FSCS declares more than 20 advice firms in default between May and October
FSCS declares more than 20 advice firms in default between May and October

  • Regulation
  • 10 November 2020
Former Macquarie adviser faces A$1m in fines
Former Macquarie adviser faces A$1m in fines

  • Regulation
  • 06 November 2020
FCA bans disgraced 'celebrity adviser' after sexual assault conviction
FCA bans disgraced 'celebrity adviser' after sexual assault conviction

  • Regulation
  • 05 November 2020
FCA chief: No immediate plans to reduce FSCS levy for advisers
FCA chief: No immediate plans to reduce FSCS levy for advisers

  • Regulation
  • 05 November 2020
Financial services providers operating outside the BVI granted extension
Financial services providers operating outside the BVI granted extension

  • Regulation
  • 04 November 2020
Malta hits Lombard Bank with €340,000 fine over anti-money laundering shortcomings
Malta hits Lombard Bank with €340,000 fine over anti-money laundering shortcomings

  • Regulation
  • 04 November 2020
123

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HNWIs in SE Asia cite lack of financial knowledge as greatest concern: report
HNWIs in SE Asia cite lack of financial knowledge as greatest concern: report
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