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FCA

FCA chair: Name and shame plans 'valid' despite 'stern reaction'

Regulation

FCA chair: Name and shame plans 'valid' despite 'stern reaction'

Ashley Alder was speaking at a Treasury Committee hearing

clock 09 May 2024 • 4 min read
Ban and £120,300 fine for former firm CEO who 'put investors at risk'

Regulation

Ban and £120,300 fine for former firm CEO who 'put investors at risk'

James Lewis was chief executive at London-based Shard Capital Partners

clock 07 May 2024 • 1 min read
Adviser guide aims to 'demystify' Consumer Duty annual reporting

Your profession

Adviser guide aims to 'demystify' Consumer Duty annual reporting

Firms to produce first annual Consumer Duty board report

clock 02 May 2024 • 1 min read
Financial Conduct Authority's regulation 'lacks coherent vision'

Your profession

Financial Conduct Authority's regulation 'lacks coherent vision'

‘It does feel like the wind has been in our faces over the past few months’

clock 01 May 2024 • 2 min read
FCA's Sadan: SDR will help restore 'trust and integrity' in sector

Regulation

FCA's Sadan: SDR will help restore 'trust and integrity' in sector

Sacha Sadan was speaking at the annual Amundi conference

clock 01 May 2024 • 3 min read
FCA tweaks rules ahead of pensions dashboard connection dates

Pensions

FCA tweaks rules ahead of pensions dashboard connection dates

Firms will be COBS 19.11 compliant when they connect to CDA

clock 01 May 2024 • 1 min read
FCA capital redress expectations: The road ahead for advisers

Regulation

FCA capital redress expectations: The road ahead for advisers

What’s expected of advisers and the timelines to work to

clock 29 April 2024 • 4 min read
Trade bodies call for chancellor to stop FCA public enforcement

Regulation

Trade bodies call for chancellor to stop FCA public enforcement

‘Proposals to publicise investigations are a worrying development’

clock 29 April 2024 • 2 min read
Plugging the support gap in retirement 'not FCA's role'

Your profession

Plugging the support gap in retirement 'not FCA's role'

Majority of professionals say FCA should not have to plug support gap

clock 29 April 2024 • 1 min read
FCA proposes advisers and platforms 'must' communicate SDR labels

Regulation

FCA proposes advisers and platforms 'must' communicate SDR labels

Distributors also must provide access to consumer-facing disclosures

clock 23 April 2024 • 1 min read
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