FCA Regulation

Topics

Advisers are urging FCA to create a level playing field on capping advice liability Advisers are urging FCA to create a level playing field on capping advice liability by	1 replies 11 views 0 likes	Anonymous 29 Aug 2013
Advisory firms without business plans could be deemed “high risk” by the FCA Advisory firms without business plans could be deemed “high risk” by the FCA by	1 replies 78 views 0 likes	Anonymous 28 Aug 2013
Limit to Advice Liability Petition Limit to Advice Liability Petition by	0 replies 4 views 0 likes	Anonymous 28 Aug 2013
Dougie Dougie by	6 replies 310 views 0 likes	Anonymous 27 Aug 2013
Sants & Turner - So much for no reward for failure… Sants & Turner - So much for no reward for failure… by	5 replies 84 views 0 likes	Anonymous 22 Aug 2013
FCA considering an ‘end date' for trail commission FCA considering an ‘end date' for trail commission by	26 replies 787 views 0 likes	Anonymous 21 Aug 2013
"My first RMAR took an entire Sunday." "My first RMAR took an entire Sunday." by	1 replies 46 views 0 likes	Anonymous 19 Aug 2013
Do the FCA have the legal power to end trail? Do the FCA have the legal power to end trail? by	5 replies 266 views 0 likes	Anonymous 17 Aug 2013
FCA had ‘no concerns’ re the BO Ireland increase. Now? FCA had ‘no concerns’ re the BO Ireland increase. Now? by	5 replies 132 views 0 likes	Anonymous 13 Aug 2013
Probe to see if the FCA is 'value for money' Probe to see if the FCA is 'value for money' by	5 replies 127 views 0 likes	Anonymous 12 Aug 2013
FCA - Commission ban on non-advised business? FCA - Commission ban on non-advised business? by	1 replies 34 views 0 likes	Anonymous 12 Aug 2013
Wheatley's comments were 'ill advised' & 'overstepped commercial lines' Wheatley's comments were 'ill advised' & 'overstepped commercial lines' by	2 replies 30 views 0 likes	Anonymous 9 Aug 2013
FCA reconsidering plans to ‘name & shame’ over warning notices FCA reconsidering plans to ‘name & shame’ over warning notices by	2 replies 67 views 0 likes	Anonymous 9 Aug 2013
The FCA directors appointed to supervise advisers… The FCA directors appointed to supervise advisers… by	3 replies 52 views 0 likes	Anonymous 9 Aug 2013
Could this be the end of the small adviser firms? Could this be the end of the small adviser firms? by	3 replies 221 views 0 likes	Anonymous 9 Aug 2013
FCA fail to include a cap on bankers’ bonuses in new rules… FCA fail to include a cap on bankers’ bonuses in new rules… by	2 replies 19 views 0 likes	Anonymous 8 Aug 2013
FCA rejects poor feedback over ‘skilled person’ reports FCA rejects poor feedback over ‘skilled person’ reports by	1 replies 6 views 0 likes	Anonymous 6 Aug 2013
FCA creates regulatory 'hit squad'... FCA creates regulatory 'hit squad'... by	4 replies 204 views 0 likes	Anonymous 26 Jul 2013
IFA given 4 days to complete FCA review? IFA given 4 days to complete FCA review? by	3 replies 135 views 0 likes	Anonymous 24 Jul 2013
'Approved person' or 'Senior person'? What's the difference? 'Approved person' or 'Senior person'? What's the difference? by	1 replies 20 views 0 likes	Anonymous 23 Jul 2013
FCA considers options to check clients are happy with on-going adviser fees FCA considers options to check clients are happy with on-going adviser fees by	1 replies 29 views 0 likes	Anonymous 23 Jul 2013
FCA defend Sants’ six months paid gardening leave FCA defend Sants’ six months paid gardening leave by	3 replies 90 views 0 likes	Anonymous 19 Jul 2013
Adviser numbers barely above 20,000… Adviser numbers barely above 20,000… by	1 replies 66 views 0 likes	Anonymous 17 Jul 2013
FCA to review firms dealing with unregulated third parties FCA to review firms dealing with unregulated third parties by	1 replies 98 views 0 likes	Anonymous 12 Jul 2013
FCA views on SVR hikes after BOI FCA views on SVR hikes after BOI by	1 replies 8 views 0 likes	Anonymous 12 Jul 2013
Wheatley’s fat pay-packet… Wheatley’s fat pay-packet… by	4 replies 58 views 0 likes	Anonymous 11 Jul 2013
Approved Persons Regime "Nightmare and ridiculous overkill." Approved Persons Regime "Nightmare and ridiculous overkill." by	1 replies 65 views 0 likes	Anonymous 11 Jul 2013
Are FCA fines ruining all trust in financial services? Are FCA fines ruining all trust in financial services? by	1 replies 27 views 0 likes	Anonymous 11 Jul 2013
FCA Website - does it imply we are all crooks? FCA Website - does it imply we are all crooks? by	3 replies 137 views 0 likes	Anonymous 10 Jul 2013
FCA “should not be seen as the enemy…” FCA “should not be seen as the enemy…” by	2 replies 65 views 0 likes	Anonymous 9 Jul 2013
Assessment email Assessment email by	2 replies 170 views 0 likes	Anonymous 5 Jul 2013
Adviser levy to increase by 13% Adviser levy to increase by 13% by	4 replies 165 views 0 likes	Anonymous 4 Jul 2013
FCA fines GI intermediary £2.8m for poor complaint handling FCA fines GI intermediary £2.8m for poor complaint handling by	1 replies 38 views 0 likes	Anonymous 3 Jul 2013
At last! Whistle-blowers taken seriously by FCA At last! Whistle-blowers taken seriously by FCA by	2 replies 205 views 0 likes	Anonymous 2 Jul 2013
FSA refused to agree long stop clause FSA refused to agree long stop clause by	2 replies 83 views 0 likes	Anonymous 28 Jun 2013
Are the FCA unsettled due to the RDR charging confusion? Are the FCA unsettled due to the RDR charging confusion? by	1 replies 14 views 0 likes	Anonymous 27 Jun 2013
Banking commission”FCA must cut costs and downsize” Banking commission”FCA must cut costs and downsize” by	2 replies 80 views 0 likes	Anonymous 19 Jun 2013
FCA fees shock! 13% (or is it 24%) increase. Sheer unfairness? FCA fees shock! 13% (or is it 24%) increase. Sheer unfairness? by	5 replies 312 views 0 likes	Anonymous 19 Jun 2013
Ex B&B director could face £100K FCA fine Ex B&B director could face £100K FCA fine by	3 replies 45 views 0 likes	Anonymous 17 Jun 2013
MMR - help with changes.... MMR - help with changes.... by	12 replies 144 views 0 likes	Anonymous 12 Jun 2013