fsa fines former ubs adviser 150000
The UK Financial Services Authority has banned and fined a former client adviser at UBS £150,000 for breaching Principle 1 of its code of conduct and failing to act with integrity.
Search Results for: Isle of Man financial services authority
santander private banking appoints new md
Santander Private Banking (UK) has announced the appointment of Gordon Dow as its new managing director.
eea publishes ucis checklist for advisers
EEA Fund Management has produced a checklist it says will help advisers to comply with Financial Services Authority rules when recommending EEA Ucis products to clients.
coutts fined by fsa over aig product sales
Coutts & Co has been fined by the Financial Services Authority over products it sold linked to AIG.
qrops – are things not always what they seem
Bob Sheasby, senior technical manager at Dominion Fiduciary Services looks at the various ways a pension can become a QROPS.