FCA Regulation

Topics

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
29 advisers being investigated by FCA for enforcement action 29 advisers being investigated by FCA for enforcement action by	5 replies 290 views 0 likes	Anonymous 12 Jun 2013
Trail commission clampdown. The implications! Trail commission clampdown. The implications! by	2 replies 171 views 0 likes	Anonymous 11 Jun 2013
Will this accelerate the end for trail commission? Will this accelerate the end for trail commission? by	1 replies 110 views 0 likes	Anonymous 10 Jun 2013
FCA labelled as 'vindictive regulator' by EX FSA guy FCA labelled as 'vindictive regulator' by EX FSA guy by	3 replies 180 views 0 likes	Anonymous 8 Jun 2013
FCA – A more human face to regulation? FCA – A more human face to regulation? by	5 replies 73 views 0 likes	Anonymous 5 Jun 2013
Are whistleblowing reports going into a black hole? Are whistleblowing reports going into a black hole? by	2 replies 76 views 0 likes	Anonymous 5 Jun 2013
FCA warns 'incentivising' staff increases risk of mis-selling FCA warns 'incentivising' staff increases risk of mis-selling by	1 replies 17 views 0 likes	Anonymous 4 Jun 2013
FCA bans Edinburgh IFA over £22k shortfall FCA bans Edinburgh IFA over £22k shortfall by	2 replies 58 views 0 likes	Anonymous 29 May 2013
Adviser written to FCA for 'unfair' investor charging Adviser written to FCA for 'unfair' investor charging by	1 replies 36 views 0 likes	Anonymous 29 May 2013
FCA – What additional mortgage data will they need? FCA – What additional mortgage data will they need? by	1 replies 44 views 0 likes	Anonymous 20 May 2013