Five ways Consumer Duty will impact advisers and investment managers
Adviser community has always ‘adapted to new ways of working’
Regulation
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FCA praised for opening direct bond access to retail investors
Follows the regulator publishing an engagement paper on non-equity securities
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Regulator issues warning to three DFM senior managers
FCA says they were allegedly involved in a ‘coordinated arrangement’ which led to ‘customers suffering financially’
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FCA issues fresh warning over impending Consumer Duty deadline
The new requirements will come into effect on 31 July
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Liquidation-hit wealth manager under investigation
UK lifeboat scheme is now accepting claims against the company
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FCA listing rules reform: A ‘necessary change’ but with a shareholder rights red flag
Current ‘premium’ and ‘standard’ listing segments to be replaced by a single category
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Ben Goss on risk: An exercise in communication
Properly defining a target market requires information flowing both ways between providers and advisers
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FCA orders wealth manager to cease operations
Police arrest 48-year-old man in connection with regulator’s concerns
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FCA to increase adviser fees to £94.6m
Regulator sets out its business plan for 2023-24 financial year
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Credit Suisse AT1 holders hire law firm to seek compensation
$17bn worth of contingent convertible bonds wiped out following UBS takeover
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FCA and PRA launch Senior Managers and Certification Regime review
As Treasury also unveils a call for evidence on the regulation
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FSCS backtracks on financial planning firm failure
As liabilities may fall onto another company that is still in business
