Regulation

A former appointed representative of Financial Ltd, the network banned this week from recruiting new advisers in a landmark ruling, has spoken exclusively to Professional Adviser about what he found during his time at the firm...

Advisers tell PA what they would do if they held a regulatory wand for one day

What advisers would do if they had the power (part two)

The Financial Ombudsman Service (FOS) has named Caroline Wayman as its chief ombudsman and CEO, succeeding Natalie Ceeney.

Ten mistakes that led to Financial's landmark FCA recruitment ban

The Financial Conduct Authority (FCA) has used its suspension power for the first time to ban two subsidiaries of the Financial Group - network Financial Ltd and separate firm Investments Ltd - from recruiting new appointed representatives (ARs) and individual...

The Financial Conduct Authority (FCA) has begun criminal proceedings against a foreign exchange (forex) trader who set up an unauthorised investment scheme.

The Financial Conduct Authority (FCA) has fined a former senior J.P. Morgan banker £450,000 after he disclosed inside information to contacts.

The Financial Services Compensation Scheme's (FSCS) case against advisers who sold Keydata products has been further delayed as the judge considers whether to include firms with less in claims against them than previously required.

What's behind the spike in compensation claims handled by FSCS?