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UK Financial Conduct Authority (FCA) Financial Advisor Survey 2025: 1) Respondents...

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UK Financial Conduct Authority (FCA) Financial Advisor Survey 2025: 1) Respondents 31,000 Advisors in 4,100 Firms (2021: 5,500 Firms) with $1.3 Trillion AuA &...

Australia Court Sentenced ex-Financial Advisor Anthony Paul Torre to 6-Year Jail...

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Australia Court Sentenced ex-Financial Advisor Anthony Paul Torre to 6-Year Jail Term for Misappropriating $710,000 (AUD 1.03 Million) of Clients’ Superannuation Funds from 2010...

Fidelity Investments Hires ex-Fidelity 21-Year Veteran Kimberly Sheehy to Run Single...

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Fidelity Investments Hires ex-Fidelity 21-Year Veteran Kimberly Sheehy to Run Single Family Office Group & Financial Advisors Group at Communities Center of Excellence, Forge...

Australia Court Dismissed Fraud & Misleading Statements Charges Against ex-Macquarie Financial...

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Australia Court Dismissed Fraud & Misleading Statements Charges Against ex-Macquarie Financial Advisor Warren Scott Acworth after Prosecution Presented No Evidence on 3rd October 2024 20th...

United States SEC Charged Financial Advisor for Misappropriating More than $1...

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United States SEC Charged Financial Advisor for Misappropriating More than $1 Million over 2 Years from NBA Basketball Players, Used Funds to Pay for...

Singapore Central Bank MAS Bans Prudential Advisor 1 Year for Masterminding...

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Singapore Central Bank MAS Bans Prudential Advisor 1 Year for Masterminding Transfer of Insurance Policies to Non-Eligible Owners 23rd March 2023 | Singapore Singapore central bank...

Where Should You Work if Your Client Gives You $100 Million?

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Where Should You Work if Your Client Gives You $100 Million? If you are lucky enough to have your client, dearest friend or family member deciding to give you...

Should You Be a Wealth or Investment Professional?

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Should You Be a Wealth or Investment Professional? Both Wealth Management and Investment Management are highly specialised areas in the financial industry.  Although many enter into...

How Valuable is Your Financial Advice?

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How Valuable is Your Financial Advice? Is your financial advice valuable?  Would clients pay more for your advice?  Are you providing better advice than your...

Would You Give the Same Advice to Yourself if You Might...

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Would You Give the Same Advice to Yourself if You Might Lose Your Job in the Next 6 Months Almost all financial advisory standards discuss...