FCA launches CCI retail disclosure consultation
New product framework for CCIs, including investment trusts, aims to simplify information for retail investors
Financial Conduct Authority
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FCA charges former WealthTek boss with nine criminal offences
Allegations of fraud and money laundering
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FCA bans pair for using ‘flawed advice model’
FCA said customers’ guaranteed pension benefits put at ‘significant risk’
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FCA lays out proposed changes to enforcement process
Four significant changes have been made to the FCA’s plans in response to feedback
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FCA slammed as ‘incompetent’ and of questionable integrity in parliamentary report
APPG on Investment Fraud and Fairer Financial Services has released a highly critical write-up
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BareRock founder says advisers can meet the 3-day complaint rule
Complying with the requirement ‘virtually impossible’ without support
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FSCS finds adviser in default over pension transfers
Mark Peter Houlbrook in default over one claim
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Ex-Barclays Wealth chief executive Kalaris loses appeal against FCA
Kalaris loses appeal to perform senior management duties at firm Saranac
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FCA’s Mills welcomes ‘feast of frogs’ as advisers make Consumer Duty progress
Speech made to mark one year anniversary
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Consumer Duty Alliance launches tool to help advisers meet FCA requirements
Teamed with tech platform Model Office
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FCA charges trio with fraud over CFD scheme targeting pensions
Total known sum lost was £8m
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FCA plans to overhaul how asset managers pay for investment research
‘Bundling’ of payments for third-party research could level the playing field for smaller asset managers