FCA
Alternatives | 1 Jul 19
UK regulator moves to limit harm to retail consumers
Permanent restrictions on sale of contracts for difference (CFDs) both direct and via intermediaries
Woodford exploited Ucits rules in Guernsey listings, FCA claims
UK watchdog boss blames regulation over fund issues and ‘puzzling’ timeline from Bailiwick exchange
IFAs recommending DB pension transfers in FCA’s crosshairs
Regulator outlines review as industry warns against making life even more difficult for clients
FCA platform switching proposals fall flat with industry
In specie transfers, exit fees and share class conversion among the issues
Best Practice | 14 Jun 19
How to advise vulnerable clients
UK financial watchdog has made it clear that firms are expected to take up the challenge