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FCA

Regulation

FCA investigates forex market

The Financial Conduct Authority (FCA) has confirmed it is investigating firms in relation to trading on the foreign exchange market.

clock 17 October 2013 •

Regulation

Pension industry needs a single regulator - NAPF

The chairman of lobby group the National Association of Pension Funds (NAPF) has called for a single regulator to cover the entire pensions industry.

clock 16 October 2013 •

Regulation

FCA reveals Barclays bank as most complained about firm

The Financial Conduct Authority (FCA) has revealed that Barclays bank was the most complained firm in the first half of the year.

clock 16 October 2013 •

Regulation

FCA warning notices: When the regulator will identify individuals

The Financial Conduct Authority (FCA) will now be publishing details of warning notices against firms and individuals before it issues enforcement proceedings against them. But in what circumstances will it name and shame individuals?

clock 16 October 2013 •

Pensions

RP Poll: Small SIPP firms

In this week's quick-fire poll we ask:Is the FCA's third SIPP review looking to force out small players as John Moret has warned?

clock 15 October 2013 •

Regulation

FCA confirms 'name and shame' policy before enforcement action

The Financial Conduct Authority (FCA) has confirmed it will publish information about proposed enforcement actions, naming firms and individuals, before deciding whether it will take action.

clock 15 October 2013 •

Wrap/platforms

Caution urged over legacy asset migration costs - survey

More than half of IFAs plan to migrate the majority of clients' assets onto wrap platforms within the next two years, but uncertainty remains over compliance issues like cost, according to a survey.

clock 15 October 2013 •

Charging

Most advisers charging on a percentage basis - study

The vast majority of advisers are operating percentage-based charging structures, a poll of more than 1,000 practitioners suggests.

clock 15 October 2013 •

Pensions

Moret: FCA's third SIPP review looking to force out small players

The regulator's looming thematic review into the self-invested personal pension (SIPP) market could force a number of smaller players out, making it a "more comfortable" situation for the regulator, according to John Moret.

clock 14 October 2013 •

Regulation

'Bundled SIPPs' pose threat to rest of industry - Dentons

The regulator should crack down on self-invested personal pension (SIPP) providers that work with unregulated investment schemes promising above-average returns, according to one provider.

clock 14 October 2013 •
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