Asia
Swiss-Asia AM fined HK$3m for regulatory breaches
It failed to monitor record keeping and trading activities in discretionary accounts
PEOPLE MOVES: Novia Financial, DWP, Nuveen
Platform COO departs, as UK government names pensions minister
Former director pleads guilty to managing $117m Ponzi scheme
The sentencing date is yet to be arranged
Australia delays financial adviser register
They will have an additional six months to sign up to the regulator’s portal
PEOPLE MOVES: Openwork, Amundi, IQ-EQ
UK advice network makes c-suite changes, while investment firm hires CEO for Czech Republic