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Regulation

Regulation

FCA restarts disciplinary action against Keydata founder Ford

The Financial Conduct Authority (FCA) is preparing to restart its disciplinary action against Keydata founder Stewart Ford after his attempt to appeal a previous High Court ruling was quashed.

clock 22 July 2013 •

Regulation

PwC: Financial services reform 'constraining advice'

Sustainable and well regulated growth in financial services could generate an additional 265,000 jobs and boost GDP by between 2% and 3% by 2020, a report from PwC has found.

clock 22 July 2013 •

Regulation

FSCS to compensate CommuniSave savers

The Financial Services Compensation Scheme (FSCS) is to compensate savers affected by the collapse of Birmingham-based credit union CommuniSave.

clock 19 July 2013 •

Regulation

FCA bans and fines former insurance broker £140k

The Financial Conduct Authority (FCA) has banned and fined former insurance broker Paul Cable £140,000 for misleading a client into thinking they had taken out an insurance policy when they hadn't.

clock 19 July 2013 •

Regulation

FCA boss: percentage-based charges 'not RDR compliant'

The Financial Conduct Authority (FCA) chief executive has said he is happy with the outcome of the Retail Distribution Review (RDR) but is still worried about the way advisers charge fees, especially if they are based on a percentage of assets.

clock 18 July 2013 •

Regulation

Wheatley 'can't commit' to lowering fees for advisers

Financial Conduct Authority (FCA) chief executive Martin Wheatley has said he "can't commit" to lowering advisers' regulatory fees, despite a marked drop in practitioner numbers.

clock 18 July 2013 •

Regulation

Cass: Advisers 'substantially underestimate D2C threat' post-RDR

Advisers "substantially underestimate" the threat from direct to consumer (D2C) businesses and are "overoptimistic" about future revenues post-Retail Distribution Review (RDR), according to a wide ranging study by Cass Business School and BNY Mellon....

clock 18 July 2013 •

Regulation

FOS shares seven real-life attitude-to-risk rulings

RISK OFF

clock 18 July 2013 •

Regulation

How much due diligence is enough?

DUE DILIGENCE

clock 18 July 2013 •

RDR

What does the approved persons regime shake-up mean for advisers?

APPROVED PERSONS

clock 18 July 2013 •
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