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Regulation

Ban and £120,300 fine for former firm CEO who 'put investors at risk'

Regulation

Ban and £120,300 fine for former firm CEO who 'put investors at risk'

James Lewis was chief executive at London-based Shard Capital Partners

clock 07 May 2024 • 1 min read
Progress over perfection: Targeted support has huge upsides

Regulation

Progress over perfection: Targeted support has huge upsides

Targeted support is not perfect but 'may be good enough'

clock 07 May 2024 • 4 min read
FCA's Sadan: SDR will help restore 'trust and integrity' in sector

Regulation

FCA's Sadan: SDR will help restore 'trust and integrity' in sector

Sacha Sadan was speaking at the annual Amundi conference

clock 01 May 2024 • 3 min read
FCA capital redress expectations: The road ahead for advisers

Regulation

FCA capital redress expectations: The road ahead for advisers

What’s expected of advisers and the timelines to work to

clock 29 April 2024 • 4 min read
FCA dismisses British Steel complaints after lengthy investigation

Regulation

FCA dismisses British Steel complaints after lengthy investigation

Regulator acknowledges decision will be ‘disappointing’ for complainants

clock 22 April 2024 • 2 min read
Agile IT needed as rapid regulation change becomes the norm

Regulation

Agile IT needed as rapid regulation change becomes the norm

'Gone are the lengthy consultation and rule-setting cycles that often took several years'

clock 15 April 2024 • 6 min read
Leveling up the playing field when it comes to picking skilled persons

Regulation

Leveling up the playing field when it comes to picking skilled persons

Given the prerequisite for accuracy, a rigorous selection process is essential

clock 15 April 2024 • 4 min read
A practical way forward: Utilising hybrid to close the advice gap

Regulation

A practical way forward: Utilising hybrid to close the advice gap

Will the FCA's advice/guidance review increase access to advice?

clock 02 April 2024 • 6 min read
No naming without shaming? The FCA's transparency plans

Regulation

No naming without shaming? The FCA's transparency plans

The impact of the FCA’s plans to name firms under investigation

clock 27 March 2024 • 4 min read
FSCS declares three financial advisory firms in default

Regulation

FSCS declares three financial advisory firms in default

Latest batch of failed firms revealed by lifeboat fund

clock 25 March 2024 • 1 min read
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