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FCA

Investment

FCA bans UCIS sales to retail investors; details exempt products

The Financial Conduct Authority (FCA) has banned the sale of unregulated collective investment schemes to ordinary retail investors.

clock 04 June 2013 •

Regulation

FCA warns advisers to check their incentive schemes

The Financial Conduct Authority (FCA) is stepping up efforts to clamp down on firms' financial incentives schemes in a bid to mitigate the risk of further mis-sellings of products.

clock 03 June 2013 •

Your profession

APFA launches industry forum to strengthen FCA communication

The Association of Professional Financial Advisers (APFA) has launched an industry forum made up of providers, networks and smaller adviser firms in a bid to build a stronger communication with the Financial Conduct Authority (FCA).

clock 31 May 2013 •

Managed solutions

Getting it right: building a centralised investment proposition

CIP

clock 30 May 2013 •

Regulation

Replacement business? Stop! Read this first...

REPLACEMENT BUSINESS

clock 30 May 2013 •

Regulation

Ex-FSA chief Pain joins RBS as head of conduct

Jon Pain, a former managing director and one-time interim chief executive of the Financial Services Authority (FSA), is to join state-owned Royal Bank of Scotland (RBS).

clock 27 May 2013 •

Regulation

FCA fines former non-exec director £154k for conflicts of interest

The Financial Conduct Authority (FCA) is set to ban and fine a former non-executive director (NED) at two mutual societies for failing to disclose her conflicts of interest.

clock 24 May 2013 •

Income

RP Poll: Non-advised annuities

In this week's annuity-themed poll we ask: Should the Financial Conduct Authority review the direct to consumer annuity market?

clock 24 May 2013 •

Regulation

FCA fines J.P. Morgan £3.1m for systems failings

The Financial Conduct Authority (FCA) has fined J.P. Morgan International Bank (JPMIB) £3,076,200 for systems and controls failings relating to its provision of retail investment advice and portfolio investment services.

clock 23 May 2013 •

Investment

Pension liberation: Is early intervention and information sharing key?

With pension liberation on the rise, pension experts have called for tougher requirements from regulators. Fiona Murphy asks what they would like to see

clock 22 May 2013 •
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