News results for Financial Conduct Authority

Legal
9 May 2014

Cash for Access To Top Chief Execs Is Banned By The FCA

Investment managers can no longer use customer money for setting up meetings with chief executives...

Legal
2 May 2014

FCA Bans Former UBS Trader Over $2.3 Billion Losses

The Financial Conduct Authority has banned a former UBS trader for failings related to $2.3...

Legal
29 April 2014

FCA Fines Invesco Perpetual £18.6 Million For Risk Failings

The Financial Conduct Authority Invesco Perpetual £18.6 million($31.3 million) for exposing...

People Moves
28 April 2014

The FCA, Bank Of England Appoint New Complaints Commissioner

The Financial Conduct Authority and the Bank of England have appointed Antony Townsend as...

People Moves
24 April 2014

UK Financial Regulator Adds Senior Advisors

The UK financial regulator has created two new advisor roles. ...

Legal
22 April 2014

UK Regulator Bans Two Advisors For Investment Suitability Failings

The Financial Conduct Authority has banned two advisors for suitability failings in self-invested...

Legal
16 April 2014

Wealth Management Association Calls On FCA To Reconsider Compensation Funding Model

The Wealth Management Association has called on the Financial Conduct Authority to reconsider the...

Market Research
10 April 2014

Hargreaves Lansdown Drew 3,173 Complaints In Just Six Months - FCA

Hargreaves Lansdown was the most complained about investments company in the UK during the second...

Compliance
8 April 2014

FCA Criticises Wealth Managers And Private Banks In Disclosure Review

Whilst failings appear widespread across the industry, wealth managers and private banks...

Compliance
2 April 2014

FCA Spells Out Plans For Industry Crackdown, Increases Annual Fees

The Financial Conduct Authority(FCA)has announced ambitious new plans to wield out malpractice in...

Comment & Analysis results for Financial Conduct Authority