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’
FCA
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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
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Industry blasts long overdue FCA whistleblower campaign
‘If they had spent the last five years actually listening then we would not now have the problems we have’
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Instagram the latest hotspot for unregulated investment ads
Facebook said it welcomes ‘the expertise the FCA shares to help identify and remove this type of content’
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Pimfa welcomes FCA consultation on permanent change to 10% rule
Brexit allows UK to ‘discard’ some guidelines ‘which firms may consider cumbersome or unnecessary’
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FCA orders Dolfin to stop carrying out regulated activities
Ongoing concern about how wealth manager operates its Tier 1 investor visa business
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Industry ‘inherently contradictory’ on how to tackle FSCS levy
UK watchdog says it would be ‘utterly absurd’ to claim there is nothing it could do
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Jersey regulator refuses to be ‘back door’ for Woodford relaunch
Declaring his comeback before seeking approval painted Channel Islands as ‘a haven for tax-dodging’
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Google steps up fight against fraudulent investment ads
It will ‘ban the use of terms that make unrealistic claims’ on its platform