FCA

Which are the best risk profiling tools?

The Financial Conduct Authority (FCA) has defended the methods it uses to calculate advisers' contribution to its annual costs as fair and proportionate, as it confirmed a 10% hike for firms for 2015-2016.

The Association of Professional Financial Advisers (APFA) has set out its lobbying priorities for the next parliamentary year in an open letter to advisers, calling for help for a profession it said is struggling with the burden of regulation and regulatory...

A man who enticed dozens of investors to inject millions into a trader's fraudulent scheme has had an appeal against his two-year prison sentence dismissed by the Court of Appeal.

IFA Nick Bamford accepts Rory Percival's challenge over FOS verdicts

Financial Conduct Authority (FCA) technical specialist Rory Percival has re-issued a call to financial advisers to offer up evidence of discrepancies between how the regulator and ombudsman view liability - and said he had even taken to looking at adjudications...

The Financial Conduct Authority (FCA) has highlighted shortcomings in the way some advisers have handled 'insistent' clients in the past, as examples of what today's advisers should steer clear of.

Financial advisers are renewing calls for the Financial Conduct Authority (FCA) to make better use of the 'exceptionally severe' fines it levies on the industry, including by using them to cut regulatory costs.

Back-office systems: Innovate before it's too late

Most advisers are confident their business will be prepared for the upcoming switch-off of fund-based trail commission, according to a poll which contradicts other research conducted on firms' readiness.