Arguing the case for ‘cooperation’
CS Investment Managers’ Robert Darling believes collaboration between competitors on regulatory change is a must if the industry wants to punch above its weight
SMCR
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Ex-Walker Crips investment manager loses employment tribunal hearing
The firm said it could no longer certify him as a ‘fit and proper’ person
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Will SMCR solve asset management’s behavioural issues?
Introduction of the best practice regulation comes after a tough year for asset managers
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FCA highlights benchmark manipulation scandals as it extends SMCR
Libor administrator among firms where executives will now face a higher degree of accountability
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FCA resurrects public IFA register
In a move that comes too late for scammed British Steel Pension Scheme (BSPS) members, the Financial Conduct Authority has announced a consultation on a public register of approved financial advisers and other industry professionals.
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Has the FCA’s IFA register been reprieved?
Until very recently it looked inevitable that the FCA’s IFA register would fall by the wayside, despite opposition from advisers and the industry.