UK financial watchdog orders wealth manager to cease operations
Police arrest 48-year-old man in connection with regulator’s concerns
FCA
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Four charged with fraud over alleged £1.4m investment scheme
Defendants will appear at Southwark Crown Court on 2 May 2023
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FCA to increase adviser fees to £94.6m
UK regulator sets out its business plan for 2023-24 financial year
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FCA places regulatory restrictions on IFA firm director
Just weeks after the watchdog admitted its concerns that the company had misappropriated client funds
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Three more financial advice firms fail
26 companies have been declared in default by the UK lifeboat scheme since the start of 2023
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UK watchdogs launch Senior Managers and Certification Regime review
As Treasury also unveils a call for evidence on the regulation
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Financial planning company fails
This is the second Ascot Lloyd-linked firm to be declared in default in as many months
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PEOPLE MOVES: FCA, HSBC Global Private Banking, Fairway Group
UK regulator names joint executive directors of enforcement and market oversight
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Advice business declared in default
UK lifeboat scheme has received one claim against the company related to pension transfers
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Maximum ombudsman compensation limit to rise to £415,000
Changes to start on 1 April
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IFA company hit with regulatory restrictions
Watchdog said it failed to ‘engage with the FCA in an open and cooperative way’
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DB pension transfers excluded from advice-guidance review
But FCA says that accumulation and decumulation products will be part of the analysis