FCA Regulation

Topics

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
FSA reprieve for small adviser firms from new rules FSA reprieve for small adviser firms from new rules by	1 replies 74 views 0 likes	Anonymous 19 Mar 2013
5 complaints against FSA for unprofessional & overly aggressive conduct 5 complaints against FSA for unprofessional & overly aggressive conduct by	2 replies 50 views 0 likes	Anonymous 18 Mar 2013
Advisers must build defences against FSA on steroids Advisers must build defences against FSA on steroids by	1 replies 24 views 0 likes	Anonymous 14 Mar 2013
FCA should be 'strangled at birth', says think tank FCA should be 'strangled at birth', says think tank by	4 replies 95 views 0 likes	Anonymous 7 Mar 2013
Sants and his ‘blind eye’ Sants and his ‘blind eye’ by	7 replies 210 views 0 likes	Anonymous 7 Mar 2013
Whistleblow while you work – and get paid! Whistleblow while you work – and get paid! by	2 replies 119 views 0 likes	Anonymous 5 Mar 2013
Unlike the FSA, the FCA is “committed to being open to scrutiny by parliament” Unlike the FSA, the FCA is “committed to being open to scrutiny by parliament” by	1 replies 21 views 0 likes	Anonymous 5 Mar 2013
FCA + PRA = 4,000 staff – and counting! FCA + PRA = 4,000 staff – and counting! by	2 replies 63 views 0 likes	Anonymous 4 Mar 2013
“More litigious” FSA? “More litigious” FSA? by	1 replies 24 views 0 likes	Anonymous 1 Mar 2013
Sir Hector - See how easy it is to file a late return?! Sir Hector - See how easy it is to file a late return?! by	1 replies 50 views 0 likes	Anonymous 28 Feb 2013