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Compliance tip: How to avoid senior managers regime traps

It may seem quite a way off but the Senior Managers and Certification Regime implementation date will soon be upon us. Now is the time to start thinking about implementing the requirements into your organisation. Here are some of the common pitfalls to avoid: Losing sight of SM&CR’s purpose: The new regime is far more […]

FCA proposes new rules for P2P lenders

The Financial Conduct Authority has opened a consultation on new rules for loan-based crowdfunding platforms as a first step to fix “increasingly complex” business models. The regulator today issued an update on its review of the loan-based and investment-based crowdfunding market. The updates are the first since a sector review in December 2016 and ask for responses […]

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Nucleus floats on AIM with £140m market cap

Platform Nucleus has begun its listing on the Alternative Investment Market today with a market capitalisation of £139.9m. The placing is 76,473,360 shares with voting rights and 17,530,543 ordinary shares to new institutional holders with a placing price of 183p. New shares will not be sold as part of the float. Nucleus had been eyeing a […]

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Second cold-call ban consultation released

The Treasury has today published a “technical consultation” relating to the ban on pensions cold-calling, following criticism for missing its June deadline. The Treasury confirmed last month the implementation of the ban would be delayed due to “technicalities”. At that time, a Treasury spokesman said: “Following debates in parliament, and having considered evidence from the industry, […]

Neptune’s Burnett looks beyond Greece

Watch Rob Burnett, manager of the Neptune European Opportunities Fund, discuss the Greek bailout deal and its potential implications for European equities. In the video Rob discusses: Why, with the Greek crisis receding, markets can now focus on Europe’s strong fundamentals The resilience of European markets and why the recovery is on a solid footing […]

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