News, Comment & Analysis results for FCA
Compliance Corner: FCA Fines UK's Starling Over Financial Crime Failings
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Fidelity Gains FCA Approval To Launch Long-Term Asset Fund
The launch comes as the UK’s Financial Conduct Authority (FCA), along with other regulators,...
UK Calls Financial Firms To Treat PEPs Fairly After 2023 Debanking Storm
The FCA wants financial firms to be careful about the way they handle politically exposed persons....
Compliance Corner: Fenergo, First Abu Dhabi Bank; FCA Delays PEP Report
The latest compliance news: regulatory developments, punishments, guidance, permissions, new...
SJP, ABI Welcome UK Plan On Future Of Targeted Support And Simplified Advice
UK wealth manager St James’s Place and the Association of British Insurers react to the...
Close Brothers Stops Dividend Over FCA Car Finance Review
The board of Close Brothers Group has just released a trading update after the Financial Conduct...
FCA Probes UK Advisors On Consumer Duty Progress
The Consumer Duty regulatory framework, taking force in 31 July, 2023, is designed to improve...
Compliance Corner: Alpadis Trust (Switzerland), FINMA, FCA Targets Greenwashing
The latest compliance news: regulatory developments, punishments, guidance, permissions, new...
UK Investors To Diversify Portfolios Over Economic Fears – Survey
The FCA-regulated investment platform Shojin has just released a survey among 2,000 UK adults,...
FCA Fires Warning At Wealth Managers
This week the UK watchdog told wealth managers and stockbrokers about the need to deliver good...
Comment & Analysis results for FCA
The Lockdown: How Wealth Managers Are Coping
For a sense of the immediate impact of the health crisis on wealth managers as they meet client and...
The regulation of advisers: the FCA's promises for 2014
Chris Hannant, the director-general of the UK's Association of Professional Financial Advisers,...
The FCA Targets the Wealth Management Industry
In this article Harvey Knight, a partner at the global law firm of Withers, gives us a blow-by-blow...
THE UK'S BRIBERY ACT: WHAT IT MEANS FOR WEALTH MANAGERS
With the Financial Conduct Authority reportedly reviewing at least 22 asset management firms for...
THE FCA INTERVIEW: A NEW WEALTH MANAGEMENT POLICY
Recently CM interviewed Clive Adamson, the genial head of the British FCA’s supervision...
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