FCA
WH Ireland expects “substantial fine” from FCA
UK wealth manager WH Ireland said it is likely to face “a substantial fine imposed by the FCA,” following a Financial Conduct Authority review.
Tax & Regulation | 15 Dec 15
Threadneedle fined £6m over Gersamia fraud case
Threadneedle Asset Management has been fined more than £6m by the FCA following an attempted fraudulent trade involving a former emerging market debt fund manager Vladimir Gersamia.
Tax & Regulation | 14 Dec 15
FCA assessing barriers to social investment
The UK’s Financial Conduct Authority (FCA) has launched a public consultation on how well the social investment market regulation is functioning.
Investment | 9 Dec 15
One in three wealth managers not up to scratch on suitability – FCA
One third of UK wealth managers’ suitability reports currently fall short of the Financial Conduct Authority’s expected standards, the regulatory body said on Wednesday.
Tax & Regulation | 9 Dec 15
FCA unveils new capital rules for financial advisers
The UK Financial Conduct Authority (FCA) has unveiled a sharp rise in the minimum capital requirements for investment advisers, which will come into force on 30 June 2016.