FCA

Halfway there: Adviser risk during the ‘laborious’ asset migration process

The regulator has launched a national campaign focused on investment fraud and how to spot potential scams.

Advisers are asking more and deeper questions when probing what Zurich's platform has to offer, the insurer's head of retail platform strategy Alistair Wilson (pictured) has said.

The Financial Conduct Authority (FCA) is coming down hard on firms that continue to act outside of its rules on financial promotions, with the number of adverts withdrawn or amended by the regulator jumping 61% in the last year.

The Financial Conduct Authority (FCA) has fined and banned two former directors of Pritchard Stockbrokers for recklessly failing to protect client money.

Figures published by the Financial Conduct Authority (FCA) show the number of authorised investment advice firms has roughly stayed the same over the last eight years.

Only one in four advisory firms operates a social media policy for staff despite its increasing use and growing scrutiny from the regulator, research suggests.

Asset managers have revealed the hard limits they are imposing on entertainment budgets ahead of a potential FCA ban on corporate hospitality

How the FCA showed it is fitting in with what goes on 'in real life' at adviser firms

Regulation round-up: Mis-selling, specialist referrals and financial promotions