FCA
Regulation
The Financial Conduct Authority (FCA) has banned Stephen Bell, the former compliance director of network Financial, for "systemic weaknesses" in the business' compliance process, and fined him £33,800.
13 March 2015
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Investment
A decision by the regulator to ban the former CEO of a stockbroking firm from the industry and fine him £450,000 for giving unsuitable advice and high-pressure mis-selling, has been upheld.
13 March 2015
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2 min read
Regulation
Consumers must accept responsibility for their decisions in retirement when the new flexibility rules come into force in April, Financial Conduct Authority (FCA) chief executive Martin Wheatley has said.
11 March 2015
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Retirement
An industry initiative managed by the Tax Incentivised Savings Association (TISA) and backed by 50 firms and trade bodies has called on the regulator to agree on a ‘common sense' standard for the delivery of guidance to consumers.
11 March 2015
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Regulation
Increased consumer choice under pensions freedom coupled with greater potential fraud risk has boosted the argument for a single pensions regulator, MPs have said.
10 March 2015
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Regulation
The Financial Conduct Authority (FCA) is to investigate the activities of the former operators of the Connaught Income Series 1 fund, Capita Financial Managers and Blue Gate Capital.
10 March 2015
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Regulation
A former IFA has been jailed for ten years for defrauding investors of at least £3.5m in what has been branded a "classic Ponzi scheme".
09 March 2015
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Regulation
Investors are not receiving adequate information on the extent to which funds are being levered up through the use of derivatives, a review by the Financial Conduct Authority (FCA) has found.
06 March 2015
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