Regulation
Regulation | 19 Aug 24
Unique regulatory challenges presented by overseas appointed representatives
One of the top level challenges for principal firms is the differences in culture and language
Investment | 16 Aug 24
ADGM issues 1,271 new licences in H1 2024 as AUM surges by 226%
The pipeline of entities within the asset management sector remains strong across hedge funds, private equity, institutional funds and venture capital firms
Regulation | 16 Aug 24
PwC fined £15m for not alerting FCA during audit to suspected LCF mini bond fraud
This is the first time the FCA has fined an audit firm
FCA bans and fines insurance adviser for dishonest and reckless conduct
He was found to have failed to pass on insurance premiums from clients to providers, effectively leaving clients without cover
FCA fines Cypriot contract for differences firm over unauthorised advice
The regulator previously took action in 2020 to stop four Cypriot investment firms from continuing to offer high risk CFDs to UK investors