Page 2 - Approved Persons News Today

Nigerian Exchange (NGX) Regulation Limited has announced the release of the ‘Code of Conduct for Approved Persons of Trading License Holders’ of NGX, in

KYP regulation simply codifies and underscores the responsibility of Wealth Advisors and Portfolio Managers.

Although, the FCA’s press release announcing its enforcement action against Sigma Broking Limited (Sigma) refers to “market abuse reporting failures”, some of the most interesting...

Advisers may be used to PI insurance to cover their firms, but what about covering the risk individual senior managers pose?

Brokerage firms, banks, and insurance companies often create their own in-house product, referred to as proprietary products. They are proprietary because they can only be sold by the firm that . . .

ACA Compliance Group (ACA) announced today that Anthony Bennett has joined ACA Mirabella, part of ACA Compliance Group, as head of sales and client development. Anthony brings a 20-year career in financial services to the position. He moves to ACA Mirabella from a consulting role held at Capco since 2019, where he established their Prime Brokerage consulting division. Before that he was head of Prime Brokerage at KPMG. This was preceded by prime brokerage roles at HSBC and Société Génér...

ACA appoints Head of Sales and Client Development at ACA Mirabella Submitted 03/02/2021 - 9:28am ACA Compliance Group (ACA) has appointed Anthony Bennett as head of sales and client development at ACA Mirabella. Bennett brings a 20-year career in financial services to the position. He moves to ACA Mirabella from a consulting role held at Capco since 2019, where he established the Prime Brokerage consulting division. Before that he was head of Prime Brokerage at KPMG. This was preceded by prime ...