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FCA

Regulation

NEST restrictions will be addressed in Pension Bill

The government's response to the National Employment Savings Trust (NEST) restrictions is likely to be addressed in the passage of the Pensions Bill.

clock 18 June 2013 •

Regulation

FCA issues warning on Harlequin investments

The Financial Conduct Authority (FCA) is warning investors considering paying money to any of the companies in the Harlequin group "to do so with caution".

clock 17 June 2013 •

Charging

Fund groups eye 0% share classes as alternative to 'super clean'

Some of the UK's largest fund houses are considering launching retail share classes with a 0% AMC rather than provide platforms with ‘super clean' alternatives.

clock 17 June 2013 •

Regulation

Ex-broker admits giving advice without authorisation

A mortgage broker has pleaded guilty to 12 criminal offences in a case brought to Maidstone Crown Court by the Financial Conduct Authority (FCA).

clock 14 June 2013 •

Regulation

Ex-Bradford & Bingley director faces £100k fine after court loss

Former Bradford & Bingley group finance director Chris Willford is potentially facing a £100,000 fine from the Financial Conduct Authority (FCA) after losing in the Court of Appeal yesterday.

clock 14 June 2013 •

Regulation

FCA wins appeal against judicial review

The Court of Appeal has overturned a High Court ruling which would have allowed a judicial review of a Financial Services Authority's Regulatory Decisions Committee (RDC) determination.

clock 13 June 2013 •

Regulation

FCA probes currency markets amid rigging allegations

The Financial Conduct Authority (FCA) is probing the potential manipulation of currency markets, following revelations a number of traders at leading banks have rigged exchange rates.

clock 12 June 2013 •

Your profession

Finding the right discretionary fund manager for your clients and your business

It comes as no surprise that a lot of advisers have been taking a long hard look at their businesses - re-assessing their resources and re-evaluating their priorities.

clock 12 June 2013 •

Regulation

Unregulated investments: what clients need to know

Higher risk, esoteric products can no longer be sold to ordinary investors.

clock 12 June 2013 •

Investment

Harlequin investor group offers to transfer assets to a trust

A group of 1,100 Harlequin investors is proposing to make an offer to the company's chairman, David Ames, to put the troubled overseas property company's assets in a trust while a managed wind down of the business is achieved.

clock 11 June 2013 •
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