FCA Regulation

Topics

Help completing CCL Variation of Permission Help completing CCL Variation of Permission by	19 replies 484 views 0 likes	Anonymous 18 Mar 2015
Forcing annuity sellers to seek advice to avoid scandal Forcing annuity sellers to seek advice to avoid scandal by	0 replies 10 views 0 likes	Anonymous 18 Mar 2015
Charlie Palmer, Stephen Bell and Financial Ltd. Charlie Palmer, Stephen Bell and Financial Ltd. by	1 replies 98 views 0 likes	Anonymous 16 Mar 2015
FCA confusion over guidance delivery FCA confusion over guidance delivery by	0 replies 93 views 0 likes	Anonymous 4 Feb 2015
Gabriel. Bust! Gabriel. Bust! by	0 replies 113 views 0 likes	Anonymous 30 Jan 2015
Wheatley regrets 'shoot first ask questions later' Wheatley regrets 'shoot first ask questions later' by	2 replies 45 views 0 likes	Anonymous 28 Jan 2015
Is it right that the FCA uses fines to reduce regulatory fees? Is it right that the FCA uses fines to reduce regulatory fees? by	1 replies 102 views 0 likes	Anonymous 23 Jan 2015
Costs of Going DA For Mortgages, Protection, GI etc. Costs of Going DA For Mortgages, Protection, GI etc. by Anonymous	3 replies 184 views 1 likes	Anonymous 21 Jan 2015
Can someone show me where in law Buy-to-Lets are covered under CCL rules Can someone show me where in law Buy-to-Lets are covered under CCL rules by	4 replies 133 views 0 likes	Anonymous 20 Jan 2015
"Immature" regulator wants to create sensational headlines? "Immature" regulator wants to create sensational headlines? by	0 replies 50 views 0 likes	Anonymous 8 Jan 2015
FCA to ban premium rate phone lines for financial services firms FCA to ban premium rate phone lines for financial services firms by	0 replies 39 views 0 likes	Anonymous 15 Dec 2014
Bonuses cancelled for several FCA senior execs Bonuses cancelled for several FCA senior execs by	3 replies 194 views 0 likes	Anonymous 10 Dec 2014
FCA and their bonuses- do you think they misinterpreted the rules/regulations lol? FCA and their bonuses- do you think they misinterpreted the rules/regulations lol? by	1 replies 25 views 0 likes	Anonymous 10 Dec 2014
Adviser guidance guarantee levy cut by 50% Adviser guidance guarantee levy cut by 50% by	0 replies 45 views 0 likes	Anonymous 28 Nov 2014
FCA's customer complaint reforms FCA's customer complaint reforms by	1 replies 71 views 0 likes	Anonymous 18 Nov 2014
FCA "Sometimes we get the messaging wrong" FCA "Sometimes we get the messaging wrong" by	1 replies 89 views 0 likes	Anonymous 9 Nov 2014
DA- 4 year assessment DA- 4 year assessment by	13 replies 434 views 3 likes	Anonymous 4 Nov 2014
CCL - Limited or Full? CCL - Limited or Full? by	8 replies 337 views 0 likes	Anonymous 25 Oct 2014
Anyone had a new CCL license yet? Anyone had a new CCL license yet? by	2 replies 215 views 0 likes	Anonymous 25 Oct 2014
Good grief no! The FCA want to use phone tapping!!!!!!!!!!!!!!!!!!!!!!!!!! Good grief no! The FCA want to use phone tapping!!!!!!!!!!!!!!!!!!!!!!!!!! by Anonymous	8 replies 362 views 1 likes	Anonymous 11 Sep 2014
FCA Business Risk Awareness Reviews FCA Business Risk Awareness Reviews by Anonymous	1 replies 97 views 0 likes	Anonymous 15 Aug 2014
Lenders ‘too assiduous' in affordability assessments? Lenders ‘too assiduous' in affordability assessments? by	1 replies 173 views 0 likes	Anonymous 18 Jul 2014
FCA's Wheatley wins Which? Positive change award FCA's Wheatley wins Which? Positive change award by	7 replies 149 views 2 likes	Anonymous 11 Jul 2014
The FCA gave a ‘thumbs up’ to live chat & videos The FCA gave a ‘thumbs up’ to live chat & videos by	1 replies 55 views 0 likes	Anonymous 10 Jul 2014
Yay some good news - FCA cuts fee bill Yay some good news - FCA cuts fee bill by	0 replies 144 views 0 likes	Anonymous 4 Jul 2014
FCA defends their independent definition FCA defends their independent definition by	0 replies 34 views 0 likes	Anonymous 30 Jun 2014
Does the FCA understand its own ‘independence ‘ rules? Does the FCA understand its own ‘independence ‘ rules? by	0 replies 37 views 0 likes	Anonymous 18 Jun 2014
The supervision shift examined by Consulting Consortium The supervision shift examined by Consulting Consortium by	0 replies 23 views 0 likes	Anonymous 12 May 2014
Which? could be stripped of its right to lodge super-complaints Which? could be stripped of its right to lodge super-complaints by	3 replies 105 views 0 likes	Anonymous 10 Apr 2014
FCA may move to the Olympic Park site FCA may move to the Olympic Park site by	7 replies 205 views 1 likes	Anonymous 5 Apr 2014
AR Turnaround time AR Turnaround time by Anonymous	3 replies 63 views 0 likes	Anonymous 19 Mar 2014
FCA & 'tick box compliance' FCA & 'tick box compliance' by	1 replies 110 views 0 likes	Anonymous 19 Mar 2014
More expensive FCA expenses??? Justified?? More expensive FCA expenses??? Justified?? by	3 replies 102 views 0 likes	Anonymous 3 Mar 2014
IFA in ten year battle with the FSA IFA in ten year battle with the FSA by	3 replies 77 views 0 likes	Anonymous 20 Feb 2014
FCA guidance on how you should deal with CMC complaints FCA guidance on how you should deal with CMC complaints by	2 replies 113 views 0 likes	Anonymous 11 Feb 2014
What did broker Anthony Verrier do to get lifetime ban? What did broker Anthony Verrier do to get lifetime ban? by	3 replies 204 views 0 likes	Anonymous 30 Jan 2014
FCA – Absolute hypocrites! FCA – Absolute hypocrites! by	9 replies 245 views 1 likes	Anonymous 23 Jan 2014
FCA – Can’t refund us but can afford £500 a night hotel FCA – Can’t refund us but can afford £500 a night hotel by	0 replies 60 views 0 likes	Anonymous 15 Jan 2014
Fund MAS using FCA fines? Fund MAS using FCA fines? by	3 replies 44 views 0 likes	Anonymous 10 Jan 2014
CCL Costs - NEW FCA Costs CCL Costs - NEW FCA Costs by	51 replies 2,345 views 6 likes	Anonymous 27 Dec 2013