FCA

FSCS declares Cardiff-based advice firm in default

Your profession

FSCS declares Cardiff-based advice firm in default

David Craig was officially declared failed on 25 September

clock 26 September 2023 • 1 min read
FCA and PRA launch consultation to improve D&I in financial services

Your profession

FCA and PRA launch consultation to improve D&I in financial services

The regulators aim to highlight non-financial misconduct

clock 25 September 2023 • 4 min read
Advice/guidance review may trigger regulatory framework overhaul

Your profession

Advice/guidance review may trigger regulatory framework overhaul

The advice/guidance boundary review is centred on four key consumer harms

clock 22 September 2023 • 1 min read
Peer-to-peer market grows as advisers seek further diversification

Property Investment

Peer-to-peer market grows as advisers seek further diversification

Exploring Defaqto data on peer-to-peer market

clock 22 September 2023 • 4 min read
Advisers have an 'awful lot left to do' on Consumer Duty 'journey'

Consumer Duty

Advisers have an 'awful lot left to do' on Consumer Duty 'journey'

Advisers are ‘not there yet’ with the FCA’s regulation

clock 21 September 2023 • 1 min read
FCA cancels advice firm's permissions over £11,000 unpaid fees

Regulation

FCA cancels advice firm's permissions over £11,000 unpaid fees

Failed to do business in a 'sound and prudent' manner

clock 21 September 2023 • 1 min read
FCA sounds warning bell to protection providers over poor practises

Protection

FCA sounds warning bell to protection providers over poor practises

Latest ‘Dear CEO’ letter lays out regulatory concerns

clock 20 September 2023 • 4 min read
SDR delay: A 'mixed bag' of effects on the advice industry

Regulation

SDR delay: A 'mixed bag' of effects on the advice industry

‘Advisers should be aiming to go above and beyond these labels’  

clock 18 September 2023 • 6 min read
FSCS will likely pay out over WealthTek's £81m shortfall

Your profession

FSCS will likely pay out over WealthTek's £81m shortfall

The lifeboat fund says it is likely to meet losses after WealthTek’s collapse

clock 18 September 2023 • 1 min read
EU review of SFDR welcomed despite potential future 'frustration'

Regulation

EU review of SFDR welcomed despite potential future 'frustration'

Industry-wide review of SFDR undertaken

clock 18 September 2023 • 3 min read
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