FCA hits Invesco Perpetual with fine
Investors were not clearly informed of risks and the firm’s use of derivatives, the financial regulator has said.
FCA
-
-
FCA list reveals most complained about FS firms
Hargreaves Lansdown, Barclays Stockbrokers and Santander received the most investment-related complaints in the second half of last year, though overall grievances with financial services firms fell, according to the FCA.
-
FCA approves Seneca takeover of Miton
The acquisition has been official as the FCA officially approved the deal today.
-
RockBottom Capital launches into the UK
Today sees the launch of a brand new asset management business promising a radical new direction in the global asset management industry.
-
What keeps the FCA up at night
Alongside its annual plan the regulator has laid out its seven main areas for concern. But are they the right ones?
-
FCA seven key risks for the year ahead
As the FCA identifies seven key risk areas present in the financial markets for the year ahead in its ‘Risk Outlook 2014, members of the industry give us their views.
-
FCA slaps Santander UK with 12m fine
The FCA has fined Santander UK £12.4m for serious failings relating to investment advice.
-
PA OPINION Have we lost sight of TCF
Has our obsession with price seen us lose sight of the original six intended outcomes?
-
Banking on swerving another FX scandal
While Mark Carney was being quizzed by MPs over the Bank of England’s responsibilities in cases against manipulation of FX markets, the FCA was busy announcing its latest recruit a new head of investment banking.
-
hartman cap client monies total 23
The joint special administrator of Hartmann Capital has completed the first stage of its unwinding of the London-based investment company, and revealed that client monies as of Monday totalled £23.7m ($39.4m, 28.8m), while it held client equities worth around £39.8m.
-
PA OPINION A fair dealing commission
The IMA's eight-point framework represents a near-consensus view of the sector but several issues require a closer look.
-
IMA on dealing commission for research
The IMA has published its eight-point plan on the use of dealing commission to purchase investment research.