Regulation

Last week, the FSA (finally) produced guidance for firms considering launching a simplified advice proposition.

The FSA and the Swiss Financial Market Supervisory Authority (FINMA) are launching an independent investigation into the events surrounding the huge trading losses incurred by UBS, allegedly as a result of the actions of 'rogue trader' Kweku Adoboli....

The Treasury Select Committee has today published the terms of reference for its inquiry into the Financial Conduct Authority (FCA), and is calling for evidence on how the new regulator should be interacting with the industry and using its intervention...

Kweku Adoboli, an ETF trader at UBS, is suspected of unauthorised trading which cost the bank £1.3bn. But UBS is far from alone in suffering the sting of internal fraud, as this gallery of the world's most infamous rogue traders shows...

The $2bn losses incurred by UBS as a result of an alleged rogue trader put banks' risk controls under further scrutiny...

Less than 1% of complaints made to the financial ombudsman service (FOS) last year were rejected for being frivolous, the organisation said.

The Financial Services Authority (FSA) has fined Peterborough-based Rockingham Independent £35,000 and imposed partial bans on its directors and an adviser for exposing retirees to unsuitable advice.

The Financial Services Authority (FSA) has forced bankruptcy upon a man who was behind a £4.8m unauthorised collective investment scheme (CIS), after he failed to pay money back to his investors.

Investment platform True Potential is set to host its inaugural Investment Forum for advisers next month.

The UK government is taking legal action against the European Central Bank (ECB) over a planned change to European banking rules it warns could harm the City of London.