FCA removes IFA's permissions over concerns of unregulated advice
The Firm has the right to make written and oral representations to the Authority
Legal
2117 articles found
Regional wealth firm agrees to stop taking client cash on staff exits
The Liverpool-based investment manager is restricted from taking on new clients while it rebuilds its client assets team.
The race for a federal fund mandate is ongoing
But candidates have to hurry up - and a lot is at stake for a subsidiary of the Geneva-based Reyl Group.
JPMorgan wins appeal against insurers over Bear Stearns settlement
Banks, mutual fund firms and individuals paid billions of dollars to settle regulatory probes of the practices
UK Charity Commission closes its case into The Runnymede Trust
The Commission examined whether the trustees of Runnymede had acted in accordance with their legal duties and responsibilities and whether the charity had been engaging in unlawful political activity.
Basel Committee publishes more details on global systemically important banks
The final scores are mapped to corresponding buckets that determine the higher loss absorbency requirement for each G-SIB.
Swiss Banks Facing Default Threat
Companies which struggled during the pandemic were able to delay going bankrupt through government funding received in 2020 and 2021.
Divorce proofing trusts – a step too far?
Although the judgment is focused on the role of the Court in blessing a trustee's momentous decision, the judgment also clarifies the relevant considerations for a trustee when exercising a power of exclusion.
Wealth Management: Succession in the form of Trusts
The Trustee is under an obligation, legal and contractual by virtue of the trust deed, to act in the best interests of the beneficiaries.
Credit Suisse's Settlement Under Scrutiny
Credit Suisse settled tax fraud allegations with the U.S. Justice Department (DoJ) for $2.6 billion.
Guernsey linked to thousands of UK property ownerships
THE legal ownership of thousands of properties in the UK has been linked to Guernsey by new research.
EU Move Marks Threat for Swiss Banks
This cross-border crackdown is central to streamlining global banks within the EU, and hands more heft to regulators.