FCA
Best Practice | 8 Dec 17
Advice to take on new meaning in January
The UK regulator is to introduce a new definition of advice on 3 January 2018 in a move to bring it in line with the Mifid II definition.
Insurance broker Bluefin fined £4m
The Financial Conduct Authority has fined Bluefin Insurance Services for failing to inform customers about its independence in a way that was clear, fair and not misleading while it was owned by Axa UK.
Tax & Regulation | 4 Dec 17
Man arrested amid police and FCA probe into wealth firm
A boutique UK home counties wealth manager has become the focus of a joint investigation by the City of London Police and Financial Conduct Authority (FCA).
Tax & Regulation | 1 Dec 17
Four guilty of misleading investors in £1.4m scandal
Four people guilty of misleading vulnerable people into buying £1.4m of worthless shares are set to be sentenced this month following an investigation by the Financial Conduct Authority (FCA).
FCA takes civil action against Sipp introducers
The Financial Conduct Authority has commenced civil proceedings against two unregulated introducer firms, linked to controversial ethical tree investment schemes, for allegedly making misleading statements on pension investments.