FCA Regulation

Topics

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
Will the High Court ‘swap’ decision be swapped? Will the High Court ‘swap’ decision be swapped? by	1 replies 11 views 0 likes	Anonymous 16 May 2013
Mortgage Prisoners Mortgage Prisoners by	4 replies 110 views 0 likes	Anonymous 16 May 2013
“Direct-to-consumer platforms risk incurring FCA’s wrath” “Direct-to-consumer platforms risk incurring FCA’s wrath” by	1 replies 19 views 0 likes	Anonymous 14 May 2013
Hear the ‘loss of trail’ song Hear the ‘loss of trail’ song by	1 replies 81 views 0 likes	Anonymous 13 May 2013
Unauthorised firms carrying out regulated activity! Unauthorised firms carrying out regulated activity! by	1 replies 110 views 0 likes	Anonymous 13 May 2013
FCA Online RIsk Reviews Have Started! FCA Online RIsk Reviews Have Started! by	18 replies 380 views 0 likes	Anonymous 10 May 2013
FCA – What ‘judgement-based supervision’ really means FCA – What ‘judgement-based supervision’ really means by	1 replies 22 views 0 likes	Anonymous 9 May 2013
Research fuels concerns about the loss of trail… Research fuels concerns about the loss of trail… by	1 replies 25 views 0 likes	Anonymous 9 May 2013
Even more firms and individuals bite the dust Even more firms and individuals bite the dust by	1 replies 150 views 0 likes	Anonymous 8 May 2013
Interest-Only - Thanks FCA! Interest-Only - Thanks FCA! by	4 replies 281 views 0 likes	Anonymous 6 May 2013
What’s on YOUR wishlist for the FCA? What’s on YOUR wishlist for the FCA? by	3 replies 29 views 0 likes	Anonymous 3 May 2013
FSCS compensation levy FSCS compensation levy by	8 replies 296 views 0 likes	Anonymous 3 May 2013
Wrong! - FCA’s Exec-only disclaimer view Wrong! - FCA’s Exec-only disclaimer view by	2 replies 179 views 0 likes	Anonymous 2 May 2013
FCA review ‘could’ cover firms purporting to offer non-advised services when actually they qualify as advised FCA review ‘could’ cover firms purporting to offer non-advised services when actually they qualify as advised by	1 replies 77 views 0 likes	Anonymous 1 May 2013
Advisers will lose most trail commissions by 2016 Advisers will lose most trail commissions by 2016 by	5 replies 390 views 0 likes	Anonymous 30 Apr 2013
Clients used brokerage to ‘facilitate financial crime’ Clients used brokerage to ‘facilitate financial crime’ by	1 replies 34 views 0 likes	Anonymous 30 Apr 2013
FCA - NOT execution only if person thinks they were advised!!! FCA - NOT execution only if person thinks they were advised!!! by	42 replies 712 views 0 likes	Anonymous 25 Apr 2013
Hahaha! PRA criticises FSA for lack of accountability! Hahaha! PRA criticises FSA for lack of accountability! by	2 replies 68 views 0 likes	Anonymous 21 Apr 2013
FCA says how it will investigate and report regulatory failure FCA says how it will investigate and report regulatory failure by	1 replies 11 views 0 likes	Anonymous 18 Apr 2013
KBP Insurance Service Limited – not to be confused with… KBP Insurance Service Limited – not to be confused with… by	1 replies 16 views 0 likes	Anonymous 17 Apr 2013
Should fees be based on risk? Many say yes Should fees be based on risk? Many say yes by	1 replies 9 views 0 likes	Anonymous 16 Apr 2013
“There are plenty of unauthorised firms running scams” “There are plenty of unauthorised firms running scams” by	1 replies 106 views 0 likes	Anonymous 15 Apr 2013
FCA warning to unscrupulous advisers FCA warning to unscrupulous advisers by	1 replies 52 views 0 likes	Anonymous 15 Apr 2013
Financial Services – Sexy industry with desirable products! Financial Services – Sexy industry with desirable products! by	2 replies 23 views 0 likes	Anonymous 11 Apr 2013
FCA flexes its muscles by issuing a swathe of alerts FCA flexes its muscles by issuing a swathe of alerts by	1 replies 34 views 0 likes	Anonymous 9 Apr 2013
FSA rulebook "possible to follow & were we meant to?" FSA rulebook "possible to follow & were we meant to?" by	4 replies 177 views 0 likes	Anonymous 8 Apr 2013
FCA - do I need to do anything?!!! FCA - do I need to do anything?!!! by	3 replies 111 views 0 likes	Anonymous 8 Apr 2013
Surge in regulatory costs Surge in regulatory costs by	5 replies 99 views 0 likes	Anonymous 8 Apr 2013
New Libor rules New Libor rules by	1 replies 4 views 0 likes	Anonymous 26 Mar 2013
Out of control regulation with consumers paying £2.6bn of RDR costs Out of control regulation with consumers paying £2.6bn of RDR costs by	3 replies 111 views 0 likes	Anonymous 25 Mar 2013