Legal & Regulation

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Premier Capital granted SEC Registration

Premier Capital granted SEC Registration

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

Treasury Select Committee to scrutinise Andrew Bailey’s suitability for the role of Governor of the Bank of England

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.

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New FCA regime’s failure to include appointed representatives is an oversight, saysSturgeon Ventures

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.