Regulation

Consultation opens today as regulator publishes its latest business plan

Improved cross-organisational response to financial crime and fraud

Complaint upheld despite late evidence favouring the regulator

Changes designed to incentivise firms to settle proactively

Consultation is a part of the Edinburgh Reforms

Headed up by general counsel Stephen Braviner-Roman

Independently East bank accounts frozen and permissions cancelled

Client had requested a full cash transfer from Nucleus to AJ Bell

Alongside a separate joint discussion paper by FCA/PRA

Involved overseas IFA recommending high-risk SIPP transfers