Premier Capital Advisors, a wealth advisory and investment management firm serving clients throughout Latin America and the Caribbean, has surpassed the threshold in assets under management to be (classified) as a large advisory firm and is now registered with the US Securities and Exchange Commission (SEC).
Legal & Regulation
One of the largest auto-enrolment pension providers in the UK has warned that millions of people saving for retirement through auto-enrolment will continue to pay a disproportionate share of the rising costs of pensions regulation unless the General Levy is reformed.
PIMFA, the trade association for the investment services and financial advice industry, has published a paper on the future of supervision entitled 'FCA Supervision – fit for purpose?'
Treasury Select Committee to scrutinise Andrew Bailey’s suitability for the role of Governor of the Bank of England
Gina Miller of True and Fair has responded to the decision of the House of Commons Treasury Select Committee to question Andrew Bailey on 4 March 2020 about his suitability for the role of Governor of the Bank of England.
True & Fair Campaign publishes damning report of regulatory failure in the UK financial services industry
The True & Fair Campaign, led by co-founders Gina and Alan Miller, has published its latest report, Asleep at the wheel, an expose of systemic regulatory failure and consumer detriment in the UK financial services sector.
Wealth management firms face significant challenges when trying to keep pace with both technology development and regulation, explains Brett Williams, Managing Director, UK Private Banking at SEI.
Investment manager PortfolioMetrix, has produced a toolkit for advisers yet to develop a PROD approach that will help satisfy the regulator.
New FCA regime’s failure to include appointed representatives is an oversight, saysSturgeon Ventures
The Senior Managers & Certification Regime that comes into effect today (9 December) is a positive step for the financial services industry – but its failure to include Appointed Representative Firms (ARFs) and their individuals is an oversight, according to Sturgeon Ventures, a regulatory incubator.
Just under two months out from the 2018/19 tax return submission deadline, KPMG is warning offshore fund investors to check their tax reporting, before HMRC does.
Brexit need not detrimentally affect the tax, legal and regulatory regimes in the UK, according to law firm Rosling King (RK).