FCA sets deadline in clampdown
The FCA has issued its finalised guidance on inducements, taking on its three main causes for concern in the relationship between product providers and advisers.
FCA
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Hargreaves rolls out new pricing model
A new pricing model revealed by Hargreaves Lansdown under RDR may offer investors better clarity on their cash flow.
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Hartmann Capital winding up in wake
Hartmann Capital is being wound up in the wake of a Financial Conduct Authority “supervisory notice” against it.
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FCA fines reach close to 500m in 2013
Since its introduction in April last year the FCA has been incredibly stringent on fining firms and then telling the world about it as a lesson to others.
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FCA doubles its remit in 2014
The Financial Conduct Authority is expecting a significant rise in the number of regulated firms next year as it takes over from the Office of Fair Trading as watchdog of the consumer credit market next year.
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Are we moving too far from caveat emptor
The financial services industry is often prone to fads where a boutique structure or an institutional-type investment vehicle is desired by the retail world.
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FCA fines Lloyds banks 28m
Lloyds TSB and Bank of Scotland have been fined more than £28m by the Financial Conduct Authority, its largest-ever fine for retail conduct failings.
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FCA fines SEI nearly for client money failings
SEI Investments has been fined £900,200 by the Financial Conduct Authority for client money breaches.
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The FCAs 100k social media bill
The City regulator has spent more than £100,000 on social media, clocking up its bill by training staff on Twitter and Facebook as well as monitoring and analysing online platforms.
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pa analysis fscs rdr standards
Wealth managers and other intermediaries are going to have to dig deep to pay an interim levy imposed by the Financial Services Compensation Scheme (FSCS) now the FCA has found yet another investment firm in default.
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FCA deadline for Ucits fund approvals
The FCA has outlined plans to speed up fund authorisations with measures to help the UK increase its competitiveness against offshore financial centres.
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FCA launches asset management review
The Financial Conduct Authority (FCA) has launched a thematic review into asset management as the industry reaches a “crossroad”.