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FCA

FCA urges advice firms to take collaborative action in tackling fraud

Your profession

FCA urges advice firms to take collaborative action in tackling fraud

Regulator emphasises urgency for firms to safeguard clients and combat fraud

clock 22 May 2023 • 1 min read
FCA catches firm offering compensation of £50 to BSPS victims

Regulation

FCA catches firm offering compensation of £50 to BSPS victims

Regulator has come down hard on Welsh advisory firm David Stock & Co

clock 22 May 2023 • 1 min read
Trio of senior managers at DFM get FCA warning over conduct breaches

Investment

Trio of senior managers at DFM get FCA warning over conduct breaches

Failed to uphold integrity and due skill care and diligence principles

clock 19 May 2023 • 2 min read
Morningstar: FCA has 'once-in-a-generation opportunity' in SDR

Regulation

Morningstar: FCA has 'once-in-a-generation opportunity' in SDR

Sustainability Disclosure Requirements to build a 'truly cohesive' framework

clock 18 May 2023 • 3 min read
PA Retreat: Expect regulator to 'hit hard' on Consumer Duty

Consumer Duty

PA Retreat: Expect regulator to 'hit hard' on Consumer Duty

Regulator has political motivation to ensure Consumer Duty adherence

clock 17 May 2023 • 2 min read
Majority of advisers to pass on Consumer Duty costs to clients

Your profession

Majority of advisers to pass on Consumer Duty costs to clients

Survey reveals concerns about the impact of Consumer Duty on fees

clock 16 May 2023 • 1 min read
Consumer Duty: Advisers anticipate client dissatisfaction

Your profession

Consumer Duty: Advisers anticipate client dissatisfaction

Advisers expect to receive a negative reception for upcoming Consumer Duty rules

clock 15 May 2023 • 1 min read
FCA censures Lighthouse after British Steel 'serious failings'

Regulation

FCA censures Lighthouse after British Steel 'serious failings'

Quilter-owned firm has paid out £23m in redress

clock 15 May 2023 • 2 min read
Consumer Duty will help attract more clients, regulator tells firms

Consumer Duty

Consumer Duty will help attract more clients, regulator tells firms

Executive director of consumers and competition speaks on upcoming rules

clock 10 May 2023 • 1 min read
FCA: 'Expect robust action' with Consumer Duty supervision

Consumer Duty

FCA: 'Expect robust action' with Consumer Duty supervision

The watchdog has issued another warning on how it will discipline firms

clock 10 May 2023 • 1 min read
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