FCA sets out structured products warning
The FCA has set out what it sees as areas of concern where structured products are falling short of standards, with its own findings suggesting that end investors overestimate expected returns.
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FCA
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FCA issues new rules on retirement risk warnings
The Financial Conduct Authority has issued new rules requiring firms to give appropriate risk warnings to consumers accessing their pension savings.
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FCA ramps up inquiries by 20 per cent
The UK’s financial watchdog carried out 20% more investigations last year, however, the number of inquiries being closed without reaching a public outcome has doubled in three years.
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FCA backs ESMA on dealing commission
The FCA is showing strong support for the European Securities and Markets Authoritys (ESMA) stance on dealing commission as it prepares its own line ahead of Mifid II, coming in from 3 January 2017.
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Active share neither silver nor bullet shaped
Robin Geffens call for the Financial Conduct Authority to make the disclosure of active share mandatory is the latest shout in what is a growing clamour for better ways to provide evidence of what he refers to as truly active management.
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Montello granted full regulatory status
Montello has received full regulatory status from the Financial Conduct Authority as a UK fund manager.
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Senior partners banned over Arch Cru failings
Two senior figures who were behind the serious failings of Arch Financial Products have been fined and banned from the financial services industry, concluding a long-standing legal battle.
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Banco Espirito Santo de Investimento
Banco Espírito Santo de Investimento subsidiary, Execution Noble & Company (ENCL) has been fined £231,000 for failings as a sponsor.
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ExBlackRock MD faces industry ban over
A BlackRock managing director who avoided £43,000 in ticket fares has been handed an industry ban by the Financial Conduct Authority (FCA).
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FCA deeply criticised in Davis
The FCA has been heavily criticised over its handling of plans to conduct a discovery exercise into exit charges on historic life and pensions policies which caused significant short term damage to a number of companys share prices.
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FCA to half adviser guidance guarantee levy
The Financial Conduct Authority (FCA) has proposed giving advisers a 50% reduction in the levy to fund the Government’s guidance guarantee service.
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FCA review of in house funds reveals
An FCA review of the use of in-house investment products by wealth management and private banking firms, while largely positive, has revealed some weaknesses in client communication.