FCA
Latest news | 14 Dec 18
FCA bans director for not disclosing conflict of interest
Initial fine slashed to £20,000 from £154,000
FCA seeks feedback on patient capital in retail funds
Budget 2018 sought to reduce barriers to investing in illiquid UK growth businesses
What impact will senior manager changes have on insurers?
All dual-regulated insurance firms now fall under the UK’s Senior Managers and Certification Regime (SMCR)
UK regulator hitting individuals with bigger fine
FCA denies changing tactics as total value of penalties drops 88% in 2018
Tax & Regulation | 7 Dec 18
FCA proposes rule change for ‘inherently risky’ products
The regulator is concerned about the ‘poor conduct’ of firms selling binary and CFD products