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Financial Conduct Authority

FCA's advice/guidance review: 'Boundaries must not be blurred'

Regulation

FCA's advice/guidance review: 'Boundaries must not be blurred'

‘It is vital that financial advice is not diluted’

clock 11 December 2023 • 5 min read
FCA slams financial promotion exemptions for HNW individuals

Regulation

FCA slams financial promotion exemptions for HNW individuals

Regulator says the exemptions result in consumer harm

clock 07 December 2023 • 2 min read
7IM partners with fintech to deploy artificial intelligence

Your profession

7IM partners with fintech to deploy artificial intelligence

‘AI is central to business transformation and scalable growth’

clock 30 November 2023 • 1 min read
FCA establishes working group to support advice industry with SDR

Regulation

FCA establishes working group to support advice industry with SDR

The regulator will explore how to clarify its expectations for advisers

clock 28 November 2023 • 3 min read
SJP headed for difficult talks with advisers and clients after fee overhaul

Your profession

SJP headed for difficult talks with advisers and clients after fee overhaul

New business will no longer include an early withdrawal charge structure

clock 17 October 2023 • 3 min read
Special administrators secure client assets at collapsed Liverpool DFM

Investment

Special administrators secure client assets at collapsed Liverpool DFM

Blankstone Sington entered voluntary requirements with the FCA in 2021

clock 16 October 2023 • 1 min read
Advisers say peers are not aware enough of client crypto use

Technical

Advisers say peers are not aware enough of client crypto use

Over 70% believe advisers are not aware enough client crypto use   

clock 16 October 2023 • 2 min read
FSCS declares Cardiff-based advice firm in default

Your profession

FSCS declares Cardiff-based advice firm in default

David Craig was officially declared failed on 25 September

clock 26 September 2023 • 1 min read
FSCS declares St Albans-based financial advice firm in default

Your profession

FSCS declares St Albans-based financial advice firm in default

Mike Norris Financial Services officially failed on 22 September

clock 25 September 2023 • 1 min read
Firms told they are 'too focused' on numbers rather than services

Your profession

Firms told they are 'too focused' on numbers rather than services

Industry experts gathered to discuss challenges posed by Consumer Duty

clock 22 September 2023 • 2 min read
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