FCA

United Kingdom | 18 Sep 13

Two firms in the UK are facing enforcement action and a number of others have been asked to amend practices after a Financial Conduct Authority review found evidence of life insurance and advisory firms “undermining the objectives of the RDR”.

United Kingdom | 25 Jul 13

This morning, the UK’s Financial Conduct Authority revealed its first review into the implementation of the RDR which found some advisers were claiming independent status when in fact they were offering a restricted choice of products or providers.

United Kingdom | 25 Jul 13

An early Financial Conduct Authority review into the adjustment to the RDR shows some advisers continue to describe themselves as independent yet are choosing products from a limited number of providers.

Alternatives | 1 Jul 13

The FCA has introduced two legal forms of collective investment schemes as part of its policy statement on the AIFMD, bringing the UK in line with the rest of the EU.

Products | 5 Jun 13

Enterprise investment schemes, venture capital trusts and ETFs are among the fund structures exempt from the Financial Conduct Authority's ban on the marketing of Unregulated Collective Investment Schemes (Ucis) to retail investors, much to the relief of industry experts.