Recommended

FCA fines broker firm £409k over trade surveillance system

A London-based broking and investment firm has been handed a fine by the FCA for its failure to update its risk surveillance systems following a business model change. Linear Investments’ trading is primarily conducted via electronic Direct Market Access. The firm saw increased trading volume following a business model change prior to November 2014. The […]

Profile: Nicholls Stevens MD: ‘Everyone should have a guaranteed pension income and run riot with the rest’

Nicholls Stevens managing director on how to solve the problems created by pension freedoms A combination of being technically minded and looking for areas with recurring income that suited her business model set IFA Carole Nicholls on her path as a pensions specialist. The managing director of Bristol-based firm Nicholls Stevens realised early in her […]

Newsletter

News and expert analysis straight to your inbox

Sign up

Comments

    Leave a comment