News, Comment & Analysis results for Financial Conduct Authority
Wealth Boutique Appoints Ex-UBS Figure
The former UBS figure is joining Klay – a firm which provides wealth management, multi-family...
Many Firms Still Aren't Ready For UK's Fraud Prevention Regime – Dentons
The new law, introduced under 2023 legislation, is extra-territorial in its scope – so businesses...
KYC Screening With Open-Source Intelligence: Balancing Risk Detection, Client Privacy
This article addresses a paradox for banks and other wealth management players undertaking KYC...
Financial Regulators Turn Up Heat On Miscreants
The reports looked at a range of different types of financial misconduct, failure and outright...
Compliance Corner: FCA Fines Barclays £40 Million Over 2008 Qatari Capital
Barclays said that it wanted to "draw a line" under the issues and did not want to contest the...
OPINION OF THE WEEK: Fixing London's Sluggish Stock Market
Whether it is enabling entrepreneurs to efficiently exit a business (creating new HNW individuals)...
Navigating Bewildering Funds Landscape – How Tech "Democratises" The Journey
The business processes outlined in this article are essential to advisors, private bankers and...
US Investment House To Take Over Somerset Capital Funds
After it was announced that Somerset Capital Management, an investment firm that focuses on global...
Somerset Capital To Close
Somerset Capital Management, an investment firm that focuses on global emerging markets, and...
Giant Japanese Asset Manager Forms UK Pact
The Asia-headquartered business has agreed a strategic pact with a UK investment firm that...