News results for FCA

People Moves
5 February 2018

Who's Moving Where In Wealth Management? - FCA, Hargreaves Lansdown, Others

The latest moves in wealth management across the UK, Europe, Middle East and Africa. ...

Compliance
15 December 2017

FCA Delays Extending Senior Management Regime To Asset Management Sector

An exact implementation date is to be confirmed by the Treasury. ...

New Office
4 December 2017

FCA Clears Asset Management Firm To Operate In UK

The firm will provide asset management solutions to both institutional and professional investors. ...

Compliance
24 October 2017

UK Regulator Levies First Fine For Exchange-Traded Derivatives Reporting Failures

Although Merrill Lynch was “open and cooperative” in assisting the FCA's investigation and...

People Moves
27 September 2017

Alliance Trust Names Former FCA, BoE Man Chair

His appointment is subject to regulatory approval....

Compliance
14 September 2017

FCA Turns Its Guns On Investment Consultants, Warns About Competition

The FCA is pressing ahead with moves to improve competition in how investment consultants - key...

Compliance
28 July 2017

Get Ready To Say Goodbye To LIBOR, Says UK Regulator Chief

The financial sector must prepare to move to a different, more reliable way of building interest...

People Moves
27 July 2017

Who's Moving Where In Wealth Management? Pictet, FCA

This is the latest collection of people moves in the wealth management sector. ...

Compliance
26 July 2017

Compliance Corner - FCA, Societe Generale, Flynt

A regular round-up of actions against industry miscreants and permissions by regulators to firms,...

Strategy
7 July 2017

Firms Must Chart Their Own Course Over Brexit, Says FCA Chief

The chief executive of the UK financial regulator said firms must not allow regulators and other...

Comment & Analysis results for FCA