Regulation

Two rogue traders were found guilty and have been sentenced to a combined nine years in prison for defrauding investors and operating a collective investment scheme without authorisation.

The London office of one of Europe's biggest banks is being investigated by regulators because of serious concerns over the way it is run.

SIPP investors ‘punished still further’ on cash interest rates

Advisers are not asking the right questions when doing due diligence on discretionary fund managers (DFM), one such firm has said, in response to criticism it is "impossible" to compare their costs and services.

Angry investors are planning legal action against the regulator in a bid to claw back losses they claim its predecessor caused when it branded their traded life settlement investments "toxic".

The Financial Services Compensation Scheme (FSCS) has declared one former network and nine other advice firms in default.

Advice to invest in a troubled unregulated overseas property scheme has helped push 24 firms over into failure, the Financial Services Compensation Scheme (FSCS) has said.

The Financial Conduct Authority (FCA) has said it will look to take even earlier pre-emptive action against what it believes is bad practice in a bid to counter accusations from the industry that it unfairly employs retrospective regulation.

The Financial Conduct Authority (FCA) has provided what it hopes is further clarity on the boundaries of advice and information when building decision tree based investment models, following concerns about the clarity of its initial suggestions.

The Financial Conduct Authority (FCA) has set out its final definitions of regulated advice and personal recommendations in retail investment, in a move it hopes will help firms develop 'low cost' distribution models with confidence.