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Regulation

Viewing Consumer Duty through the vulnerability lens

Regulation

Viewing Consumer Duty through the vulnerability lens

Clients can be vulnerable in many ways

clock 14 August 2025 • 4 min read
Woodford IM hits back at FCA's enforcement action including £46m in fines

Investment

Woodford IM hits back at FCA's enforcement action including £46m in fines

WIM said it 'strongly disagrees' with the regulator's decision

clock 05 August 2025 • 3 min read
Why the FCA's data request demands more than compliance

Regulation

Why the FCA's data request demands more than compliance

Shift towards data-driven regulation arrives at a 'pivotal juncture'

clock 31 July 2025 • 4 min read
The FCA and non-financial misconduct: Updated rules and guidance

Regulation

The FCA and non-financial misconduct: Updated rules and guidance

'The FCA hopes that the proposed amendments will increase clarity and consistency'

clock 29 July 2025 • 4 min read
FOS interim chair named following unsuccessful recruitment campaign

People

FOS interim chair named following unsuccessful recruitment campaign

Liam Coleman appointed

clock 28 July 2025 • 2 min read
FCA fines and bans former deputy CEO of asset manager

Regulation

FCA fines and bans former deputy CEO of asset manager

H2O ex-deputy CEO Jean-Noel Alba 'misled' the regulator

clock 28 July 2025 • 1 min read
Why FCA's targeted support plans won't bridge the advice gap

Regulation

Why FCA's targeted support plans won't bridge the advice gap

'It's our view that these plans would only be a sticking plaster solution to a much deeper, systemic problem'

clock 24 July 2025 • 4 min read
FCA whistleblowing: Retail investments in top three sectors for cases

Regulation

FCA whistleblowing: Retail investments in top three sectors for cases

Watchdog opened 205 retail investments whistleblowing cases last year

clock 23 July 2025 • 4 min read
Prospectus Reform: How the FCA is dealing with mini-bond scandal ghosts

Regulation

Prospectus Reform: How the FCA is dealing with mini-bond scandal ghosts

Focused on retail investor access to corporate bonds

clock 17 July 2025 • 3 min read
Campaign group pushes for Leeds Reforms parliamentary inquiry and pause

Regulation

Campaign group pushes for Leeds Reforms parliamentary inquiry and pause

Cannot forget lessons learned from 2008 financial crisis, founder urges

clock 17 July 2025 • 3 min read
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