Insurance giant racks up most upheld complaints
Firm topped the list for claims regarding both pension and investment products
FCA
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Changes to UK Mifid rules on the table
FCA looks to amend SME and FICC research along with best execution reports
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FCA secures triple bankruptcy over unauthorised share scheme
They failed to refund £3.6m to their victims
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UK set to impose tougher rules for high-risk investments
‘We have already taken action by banning the mass-marketing of speculative mini-bonds’ says FCA
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PEOPLE MOVES: Aegon, FOS, Enhance Group
Group chief tech officer steps down from pension provider, while UK ombudsman names interim CEO
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FCA stops Cyprus firm from selling CFDs to UK investors
It used a ‘variety of inappropriate techniques’ which included misleading promotion of products
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UK government to pay £120m to stranded LCF bondholders
One investor defines ‘best outcome we could have hoped for’ as ‘hallelujah moment’
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UK regulator bans and fines financial adviser
After he provided investment advice to retail customers when he ‘was not qualified or approved to do so’
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Need for ‘consistent’ DB advice sparks regulatory guidance
FCA says firms will need to change processes where ‘their approach falls short of the standards’
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Child-grooming financial adviser faces ban
He was handed a 22-month prison sentence in 2017, suspended for 18 months
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Trading academy director fined for providing advice on WhatsApp
FCA urges investors to ‘stay clear of unauthorised operators’
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UK regulators to change liquidity rules for open-ended funds
To ensure ‘more consistency’ between investor access to money and funds’ ability to sell assets