FCA

The vast majority of advisers are facing stagnating or higher professional indemnity insurance (PII) costs this year, while only a small minority saw premium costs fall, according to research commissioned by the Association of Professional Financial Advisers...

Your monthly update on the key regulatory events of the past few weeks

Have firms done enough to comply with FCA rules?

A review into how the the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) reach decisions in enforcement cases has been opened by the government, amid concerns over fairness, independence and transparency.

Wealth manager Towry has been hit by a £2.1m payment for settling regulatory issues following talks with the Financial Conduct Authority (FCA), its accounts have shown.

The upper tribunal hearing of Arch Financial Products (AFP) chief executive Robin Farrell and former compliance officer Robert Addison in relation to regulatory action taken against them by the Financial Services Authority (FSA), starts today.

It is "essential" clients are given prior notification when their fund holdings are converted to post-RDR 'clean' alternatives, but individual consent is not necessary, the Financial Conduct Authority (FCA) has outlined in finalised guidance on bulk transfers...

Insurance broker Towergate is in talks with the Financial Conduct Authority (FCA) over advice on enhanced transfer values (ETV) and unregulated collective investment scheme (UCIS) given to clients by its adviser arm Towergate Financial.

The Financial Conduct Authority (FCA) has appealed Thursday's court decision to halt its case against a group of alleged fraudsters after no barristers were willing to represent them.

Treasury Committee chairman Andrew Tyrie has described as a "welcome step forward" the details of an independent inquiry into how the Financial Conduct Authority (FCA) allowed market sensitive information about its supervisory work to reach the public...