Asset Managers

Central Bank of Ireland imposes its first ever fine on an investment fund

Regulation

Central Bank of Ireland imposes its first ever fine on an investment fund

€192,500 penalty

clock 01 December 2023 • 2 min read
Divergence in Consumer Duty application could push asset managers out of UK retail market

Regulation

Divergence in Consumer Duty application could push asset managers out of UK retail market

Professionals call for greater guidance

clock 30 November 2023 • 12 min read
Allfunds receives UK regulatory authorisation

Companies

Allfunds receives UK regulatory authorisation

Third Country Branch

clock 30 November 2023 • 1 min read
Odey AM applies to cancel FCA authorisation

Companies

Odey AM applies to cancel FCA authorisation

Winding down process

clock 29 November 2023 • 1 min read
FCA proposes 'polluter pays' investment advice redress framework

Regulation

FCA proposes 'polluter pays' investment advice redress framework

Hold capital for redress

clock 29 November 2023 • 3 min read
FCA 'closes loopholes' with introduction of fourth label under SDR but further clarification needed

Regulation

FCA 'closes loopholes' with introduction of fourth label under SDR but further clarification needed

Consultations and rules expansion

clock 28 November 2023 • 3 min read
FCA unveils final SDR rules including fourth 'Mixed Goals' label for 'blended strategies'

Regulation

FCA unveils final SDR rules including fourth 'Mixed Goals' label for 'blended strategies'

Policy paper released

clock 28 November 2023 • 9 min read
SDR has consumer at its heart but adviser role is now key

ESG

SDR has consumer at its heart but adviser role is now key

Next stages for the regulator

clock 28 November 2023 • 4 min read
Draft regulations offer FCA powers to restrict short selling in 'exceptional circumstances'

Regulation

Draft regulations offer FCA powers to restrict short selling in 'exceptional circumstances'

Market maker exemptions

clock 22 November 2023 • 2 min read
Stories of the week: 3 November

Global

Stories of the week: 3 November

Odey Asset Management; BoE; Fed; - The biggest stories from the world of investment and asset management this week

clock 03 November 2023 • 1 min read
Most read
01

AJ Bell poaches Barclays Wealth manager selection chief for investment partnerships role

13 November 2024 • 1 min read
02

Industry reaches Consumer Duty stalemate and calls for FCA to provide further clarity on cost disclosure reforms

12 November 2024 • 11 min read
03

FCA admits there could have been better handling of name and shame proposals

13 November 2024 • 3 min read
04

Baillie Gifford Japanese fund added to Hargreaves Lansdown Wealth Shortlist

13 November 2024 • 2 min read
05

Baillie Gifford China Growth unveils performance-related tender offer

13 November 2024 • 2 min read
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