FCA

Advisers slam FCA for 'unclear' and 'unhelpful' Consumer Duty attitude

Consumer Duty

Advisers slam FCA for 'unclear' and 'unhelpful' Consumer Duty attitude

Majority of IFAs think it has been ‘unclear, unresponsive and unhelpful’

clock 24 July 2023 • 1 min read
FCA intervention leads to 19% dip in appointed representatives

Your profession

FCA intervention leads to 19% dip in appointed representatives

FCA intervention leads to number of ARs declining in recent years

clock 24 July 2023 • 1 min read
The FSCS declares two firms in London and Kent in default

Your profession

The FSCS declares two firms in London and Kent in default

Lifeboat fund says Maymont Wealth and Cheshire Trafford have failed

clock 24 July 2023 • 1 min read
FCA revokes advice firm's permissions after failure to pay fees

Regulation

FCA revokes advice firm's permissions after failure to pay fees

Integellus Financial Services can no longer carry out regulated activities

clock 19 July 2023 • 1 min read
National Audit Office to scrutinise FCA as its responsibilities grow

Investment

National Audit Office to scrutinise FCA as its responsibilities grow

Consumer Duty a major part of watchdog's growing workload

clock 19 July 2023 • 2 min read
Vulnerable clients the focus of new Quilter adviser offering

Consumer Duty

Vulnerable clients the focus of new Quilter adviser offering

Offering comes as the FCA’s Consumer Duty deadline approaches

clock 18 July 2023 • 1 min read
FCA revokes adviser's permission after failure to submit returns

Your profession

FCA revokes adviser's permission after failure to submit returns

Denis Armitt can no longer carry out any regulated activities

clock 18 July 2023 • 1 min read
FCA warns about advice 'influencers' with new social media proposals

Your profession

FCA warns about advice 'influencers' with new social media proposals

New guidance aimed at combatting illegal financial promotions

clock 17 July 2023 • 3 min read
Platforms quizzed by FCA on Consumer Duty preparation

Your profession

Platforms quizzed by FCA on Consumer Duty preparation

30 platforms given days before the Consumer Duty deadline to respond

clock 14 July 2023 • 1 min read
The FCA's questions to investment platforms on their cash margins

Your profession

The FCA's questions to investment platforms on their cash margins

Platforms must respond to the FCA’s letter by 27 July

clock 13 July 2023 • 3 min read