Regulator issues warning to three DFM senior managers
FCA says they were allegedly involved in a ‘coordinated arrangement’ which led to ‘customers suffering financially’
FCA
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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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Aviva Investors launches £1.5bn LTAF
Largest UK-focused long-term asset fund to date
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£235m redress for investors agreed as Woodford saga nears wind-up
Though the deal still rests on Link Fund Solutions’ sale to Weystone Group
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Starting out? ‘Be your authentic self’
Vanessa Eve on the importance of education in the wealth management industry, empowering clients to make the right investment decisions and being true to yourself
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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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Scottish Mortgage bust-up and Home Reit troubles strike a sharp contrast with open-ended funds
Have public board-level disputes underlined the benefit of an open and accountable governance structure?
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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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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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FCA hits IFA firm with restrictions
Watchdog said it failed to ‘engage with the FCA in an open and cooperative way’