UK regulator warns firms over offline clients
But it will show ‘flexibility’ in how it approaches customer communication during outbreak
FCA
-
-
PEOPLE MOVES: FCA, Willis Towers Watson, ATC Tax
UK regulator looks to Hong Kong for CEO, as advice firm names head of investments
-
Unauthorised share scheme to refund £3.6m to victims
Following high court order which deemed promotion of the products ‘unlawful’
-
FCA third-party reviews soar in 2019/20
But retail investment and pension companies received relatively few
-
Fewer IFAs in the UK for first time
While restricted adviser numbers rise
-
FSCS opens to claims as Sipp firm enters administration
It became insolvent based on the potential claims over high-risk investments
-
How can advice firms stay afloat during covid-19 pandemic?
Many were already under pressure and should trim budgets that are no longer appropriate
-
FCA takes legal action against unauthorised adviser
Watchdog claims he has been using social media platforms to give investment advice
-
Nearly half of UK advice firms will need to furlough staff
As 14% claim their business will go bust without access to funding
-
Advisers given extra time to complete qualifications
As FCA allows firms an additional 12 months to let employees sit exams
-
FCA lays down law over PI cover during pandemic
It will consider ‘taking action’ where it sees evidence renewal process is being affected
-
UK regulator forks out £90,000 in fraudulent ads fight
FCA forced to pay for its own adverts to battle misleading promotions on Google