FCA removes permissions of advice business
Company had ‘not been open and co-operative’ with the regulator
FCA
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Five ways Consumer Duty will impact advisers and investment managers
Adviser community has always ‘adapted to new ways of working’
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FSCS investigating Portuguese advice firm with links to Sipp providers
Lifeboat scheme also announced two companies have failed
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Young Brits think more long-term about dating than investing
FCA wants investors to ‘re-think their approach’ to the financial markets
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Two brothers convicted for taking £750,000 out of failed investment firm
They ‘masqueraded’ as an authorised company to ‘defraud consumers’
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FCA praised for opening direct bond access to retail investors
This follows the regulator publishing an engagement paper on non-equity securities
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Third IFA firm reprimanded over unsolicited offers to ex-BSPS members
As FCA sends ‘Dear CEO’ letter about companies using online portals of third-party actuarial providers to calculate redress
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UK regulator issues warning to three DFM senior managers
FCA says they were allegedly involved in a ‘coordinated arrangement’ which led to ‘customers suffering financially’
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UK financial regulator secures £130,000 to return to investors
They were victims of unauthorised investment arrangements and advice
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Should financial regulators do more to help retail investors?
Jargon is a problem, say advisers
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Financial Conduct Authority issues warning to Sipp providers
UK regulator still seeing ‘a number of problems’
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Quilter subsidiary escapes fine over DB pension transfer advice
Following an investigation by the UK financial watchdog