Regulation

Whistleblowers make 2,754 separate allegations of financial misconduct to FCA

Regulation

Whistleblowers make 2,754 separate allegations of financial misconduct to FCA

Around £190m in financial penalties had been handed out

clock 12 August 2021 • 2 min read
HMRC ditches Family Investment Companies taskforce

Tax planning

HMRC ditches Family Investment Companies taskforce

Team set up in 2019

clock 05 August 2021 • 2 min read
Ascot Lloyd ordered to refund client's ongoing fees

Your profession

Ascot Lloyd ordered to refund client's ongoing fees

Ascot Lloyd has been ordered to refund a former client’s fees after the Financial Ombudsman Service upheld a complaint after claiming they had received nothing in return.

clock 03 August 2021 • 3 min read

Regulation

FCA shakes-up decision-making procedures in efficiency push

FCA efficiency drive

clock 29 July 2021 • 2 min read

Regulation

Chris Davies: If fish can't see water, what can't we see?

Bias and noise

clock 28 July 2021 • 2 min read

Regulation

FCA moves to force firms to 'comply or explain' diversity targets

Regulator proposes new diversity disclosure requirements

clock 28 July 2021 • 2 min read

Investment

Regulator slashes SPAC capital raise requirement in confirmation of new rules

Host of new investor protection rules

clock 27 July 2021 • 3 min read

Regulation

Only one in 700 scams results in a fraud conviction

Convictions have slumped to their lowest level since 2007

clock 26 July 2021 • 2 min read

Regulation

FCA bans jailed adviser after fraud conviction

David King is serving a six-year and four-month sentence

clock 22 July 2021 • 1 min read

Regulation

FCA to ditch performance scenarios from PRIIPs KIDs in rules shake-up

Regulator tackles issues with new post-Brexit powers

clock 20 July 2021 • 3 min read