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Fine

Hong Kong

Asia | 22 Dec 21

Hong Kong regulator suspends insurance brokerage licence

And hits it with a financial penalty

Companies | 16 Dec 21

Gam International Management handed £9.1m fine

And ex-bond manager receives a £230,037 penalty

Companies | 2 Dec 21

UK advice firm fined for breach of cold calling ban

It instigated over 107,000 unsolicited marketing calls about pension schemes

Asia | 30 Nov 21

Westpac agrees to pay A$113m penalty

After regulator alleges the bank charged advice fees to over 11,000 deceased customers

Companies | 25 Nov 21

Isle of Man trust company fined

With three directors deemed not to be ‘fit and proper’

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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. Site managed by Furness Media