i-law

Compliance Monitor

Wealth manager who bought racehorses with client funds pleads not guilty to fraud

A former racehorse owner who was also the principal partner in a wealth management firm, WealthTek LLP, is to make his second appearance in court on 6 February, having been charged with nine criminal offences by the FCA.
Online Published Date:  06 January 2025
Appeared in issue:  Vol 37 No 5 - 01 February 2025

Broker fined for executing cum-ex trades despite use of external compliance consultants

The FCA has concluded its seventh successful action against cum-ex trading and withholding tax schemes.
Online Published Date:  10 January 2025
Appeared in issue:  Vol 37 No 5 - 01 February 2025

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