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Fine

Companies | 8 Jan 20

Dubai regulator fines defunct wealth firm nearly $250,000

After it was suspended for, among other things, illegally promoting an unregulated foreign fund

Hong Kong regulator fines Fidelity and Adamas

Asia | 2 Jan 20

Hong Kong regulator fines Fidelity and Adamas

SFC slaps asset managers with penalties for breaching regulations

Companies | 23 Dec 19

HMRC collects £9m in penalties for early Lifetime Isa access

Exit charge is ‘trying to drive the right behaviours’ but damages the brand of the savings vehicle

Asia | 19 Dec 19

Westpac fined A$9.15m over poor financial advice

Federal Court of Australia said former adviser breached best interest duties

Companies | 16 Dec 19

Convicted eco-investment fraudsters ordered to repay £20m

The ‘carefully-planned and complex attack on the tax system’ spanned from London to Dubai

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Published by Money Map Media – part of G&M Media Ltd Copyright (c) 2024.

International Adviser covers the global intermediary market that uses cross-border insurance, investments, banking and pension products on behalf of their high-net-worth clients. No news, articles or content may be reproduced in part or in full without express permission of International Adviser.