FCA
Tax & Technical | 23 Nov 17
Fewer UK whistleblowers stepping forward
The UK needs to treat its whistleblowers better, according to a law firm which unearthed Financial Conduct Authority data.
Fixed Income | 10 Nov 17
FCA orders £66m refund for collapsed Connaught investors
The UK financial watchdog has publicly censured Capita Financial Managers (CFM) and ordered it to pay up to £66m ($86.6m, €74.6m) to investors who suffered losses from investing in the firm’s now-liquidated Connaught Income Fund, Series 1.
Best Practice | 3 Nov 17
Be careful who you do business with, advisers warned
Failure by advisers and other financial services firms to carry out thorough due diligence on introducers and appointed representatives could put customers at risk of financial harm, the Financial Conduct Authority has warned.
Investment | 30 Oct 17
Regulation to drive passive boom in 2018
Regulatory change could continue the boom in demand for passive strategies, according to a survey by KPMG and Blackrock.
Big shake-up to UK compensation scheme funding proposed
Product providers could be on the hook for 25% of the Financial Services Compensation Scheme (FSCS) costs currently paid by intermediaries, according to a consultation document released Monday.