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Wealth management firm fined by FINTRAC for AML failures
Lack of written policies and oversight was at the center of the enforcement action against independent firm “considered a securities dealer” by regulator.
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The relentless advance of American asset managers in Europe
Powerful US groups are shaking up the market and forcing their transatlantic rivals to partner and scale up — or exit the sector.
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How wealth managers can avoid misconduct and protect consumers
A year on from the FCA’s Dear CEO “warning shot” to wealth managers on consumer duty and financial crime, we look at how firms can meet these revised expectations.
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SIFMA Annual 2024: Penny Pennington on the future of financial advice
The first in a series of reports on keynote speeches at the SIFMA Annual in New York.
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Non-dom tax regime a key challenge for UK government
A new tax regime for wealthy foreigners residing in the UK will come into effect next year. But what will it mean for the UK’s ability to attract the mega-rich ?
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FCA consultation on SDR and portfolio management as approach blooms
Consultation paper is the latest stage in the implementation of SDR.
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Lars Windhorst and Bruno Crastes: inside the most mysterious and destructive friendship in high finance
He was one of the most gifted fund managers of his generation. Why did he bet so much on a notorious financial escapologist?
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How US regulatory changes affect sovereign wealth funds investment
New rules are directly affecting how sovereign wealth funds are structuring their investments and reducing the compliance burden.