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FCA

Pensions

FCA confirms further SIPP cap ad delay

The Financial Conduct Authority (FCA) has confirmed its response to the self-invested personal pension (SIPP) provider capital adequacy consultation will be delayed until the third quarter of the year.

clock 21 May 2014 •

Regulation

Arch lawyers attack COBS rules on final day

Lawyers representing Arch Financial Products (AFP) directors Robin Farrell and Robert Addison today suggested regulatory rules in place at the time their clients are accused of acting "recklessly" in managing the CF Arch cru fund range were unclear.

clock 21 May 2014 •

Pensions

Five retirement stories you might have missed

In this week's Retirement Planner news round-up we highlight five key stories you might have missed over the past seven days.

clock 21 May 2014 •

Regulation

FCA alerts public to unauthorised 'free pension reviews'

The Financial Conduct Authority (FCA) is alerting the public to be wary of offers of free pension reviews, pointing out few firms offering the service are regulated.

clock 21 May 2014 •

Regulation

FCA accuses Arch directors of 'evasive' answers at Tribunal hearing

The Financial Conduct Authority (FCA) on Tuesday accused Arch Financial Products (AFP) chief executive Robin Farrell and former compliance officer Robert Addison of giving inconsistent and vague evidence in their appeal against a regulatory ban and fine...

clock 20 May 2014 •

Regulation

Tribunal upholds FCA ban on mortgage broker

A decision by the Financial Conduct Authority (FCA) to ban a mortgage broker for a lack of integrity has been upheld by the Upper Tribunal.

clock 20 May 2014 •

Regulation

FCA rejects calls for more guidance on inducement rules

The Financial Conduct Authority (FCA) has said it will not issue further guidance on inducements, despite growing calls to do so from fund groups.

clock 19 May 2014 •

Regulation

FCA uncovers flaws in payday loan adverts

The Financial Conduct Authority (FCA) has uncovered widespread shortcomings in consumer credit promotions, such as payday loan advertisements.

clock 16 May 2014 •

Regulation

FCA fines broker £630k over LIBOR

The Financial Conduct Authority (FCA) has fined Martin Brokers (Martins) £630,000 for misconduct relating to the London Interbank Offered Rate (LIBOR).

clock 15 May 2014 •

Regulation

Tenet faces FOS complaints over advice on unregulated property scheme

Two investors are taking TenetConnect to the Financial Ombudsman Service (FOS) after unsuccessfully trying to retrieve money lost due to what they claim was negligent advice to invest in an unregulated overseas property scheme.

clock 15 May 2014 •
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