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’
FCA
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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
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UK treasury issues consultation on measuring FCA success
It is looking for feedback by 4 July
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FCA issues fresh warning over impending Consumer Duty deadline
Requirements will come into effect on 31 July
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Liquidation-hit wealth manager under investigation
UK lifeboat scheme is now accepting claims against the company
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Over 2,200 ads blocked by FCA in financial promotions crackdown
UK watchdog intervention involved 47 authorised firms
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UK financial watchdog to overhaul whistleblowing process
FCA says it ‘needs the intelligence’ they provide
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FCA warns IFA over DB transfer advice
Advice given to customers, including members of the British Steel Pension Scheme, was ‘not compliant’
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FCA concerned about pension transfer referrals from overseas advisers
Watchdog will consider an enforcement investigation where it suspects ‘serious misconduct’