For most investment activities, a retail investment adviser must attain an appropriate qualification within 30 months of starting to advise if they are working under supervision, the regulator said.
Allan, who focuses on both fund formation and fund-related transactions, is an addition to the firm’s investment funds partner offering,
Paul Moore, the former head of risk at HBOS, has complained to the Financial Reporting Council (FRC) over a report prepared by the auditor that approved his dismissal from HBOS in 2005.
Northern Trust has announced today that it is providing specialist custody and asset administration services to help insurance clients, such as Sparebank1 Skadesforsikring, help prepare for Solvency II.
The FSA found that Christchurch’s Compliance Officer, Thornberry, failed to ensure that client money and assets were managed appropriately.
Mr Moore’s complaint comes a week after it emerged that the former head of HBOS’s corporate bank, Peter Cummings, is to fight a seven-figure fine handed out by the Financial Services Authority for his part in the collapse of the bank.
According to figures from the FSCS, it had received 38 compensation claims against CDH Insurance and Finance Consultants of Bangor in North Wales between 2011 and April 2012, and upheld 14 of these.
Watson, whose start date has not yet been decided, will join BLP after 14 years in the partnership at Linklaters. She has been at the magic circle firm since joining as a trainee in 1990.