United Kingdom
United Kingdom | 18 Sep 13
two firms face enforcement action as
Two firms in the UK are facing enforcement action and a number of others have been asked to amend practices after a Financial Conduct Authority review found evidence of life insurance and advisory firms “undermining the objectives of the RDR”.
United Kingdom | 13 Sep 13
axa fined 1 8m for serious investment
Axa has been heavily fined by the UK’s Financial Conduct Authority for failing to ensure it provided suitable advice to its customers.
United Kingdom | 4 Sep 13
romer lee and whittingham are back
Richard Romer-Lee and Nigel Whittingham have opened the doors to their new business venture as they make a return to providing quality fund research in a post-RDR world.
United Kingdom | 3 Sep 13
aberdeen fined 7m for client breaches
Aberdeen Asset Management has been stung by a £7.2m fine from the UK's Financial Conduct Authority due to breaches of client money rules.
United Kingdom | 23 Aug 13
sven goran eriksson declares adviser hatred
Former England football manager Sven-Goran Eriksson only hates one person, and that is Samir Khan the financial adviser who he claims swindled him of £10m between 2007 and 2010.