FCA fines Charles Schwab £9m for failing to protect client assets
US investment giant also failed to get correct permissions and made a false statement
Regulation
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FCA admits ‘mistakes’ after scathing reports on mini-bond and collapsed fund scandals
‘We are profoundly sorry for the mistakes we have made’
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Woodford law firm urges FCA to better protect retail investors using platform buy lists
Leigh Day points out where platform investors need to be better protected under FSMA and the FSCS
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Bella Caridade-Ferreira: Navel-gazing at the FCA
Regulator finally publishes its evaluation of RDR and FAMR but is it missing the bigger picture of making advice accessible to all?
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Dan Brocklebank: Ad valorem fees are eroding trust and confidence in the industry
Video: Orbis Investments UK director on why fund buyers need to demand an alignment of interest between fund groups and end clients
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FCA finds just 8% of Brits receive financial advice in RDR review
But regulator concludes advice market is moving in the right direction
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Fraudsters use Covid crisis to dupe retail investors out of £10m
Investment Association reports the number of incidents involving clone firms has quadrupled
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Hargreaves and AJ Bell platform outages spark platform capacity concerns
‘The FCA will not be looking at things confidently right now’
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Interactive Investor and HL left on uneven playing field as FCA ditches exit fee ban
Canning of fees shake-up means platform market study has amounted to virtually nothing
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Fresh FCA data reveals spike in funds breaking illiquid holdings rules amid Covid
Industry accused of ignoring the ‘massive warning shot’ from the Woodford Equity Income suspension
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FCA abandons work on platform exit fees due to coronavirus
Proposed ban had been one of the few issues the regulator had sought to address following the platform market study
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Adviser to celebrities among trio banned by FCA for sex offences
They were all handed custodial sentences for varying charges
