FCA Regulation

Topics

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
Annual Income generated specifically from Consumer Credit Licence Annual Income generated specifically from Consumer Credit Licence by	4 replies 135 views 0 likes	Anonymous 17 Dec 2013
Are the FCA any different from the FSA? Are the FCA any different from the FSA? by	1 replies 59 views 0 likes	Anonymous 17 Dec 2013
IFA points out 'preferential rates' maybe in breach of FCA rules IFA points out 'preferential rates' maybe in breach of FCA rules by	0 replies 65 views 0 likes	Anonymous 6 Dec 2013
FCA launch review of GI comparison sites FCA launch review of GI comparison sites by	0 replies 31 views 0 likes	Anonymous 25 Nov 2013
Today's Daily Telegraph Today's Daily Telegraph by	5 replies 150 views 0 likes	Anonymous 13 Nov 2013
FCA confirms it will 'name & shame' over proposed enforcement actions FCA confirms it will 'name & shame' over proposed enforcement actions by	9 replies 207 views 0 likes	Anonymous 4 Nov 2013
FCA now questioning whether advice gap exists? FCA now questioning whether advice gap exists? by	0 replies 35 views 0 likes	Anonymous 25 Oct 2013
The FCA’s 4 steps to compliant advice… The FCA’s 4 steps to compliant advice… by	0 replies 54 views 0 likes	Anonymous 24 Oct 2013
Are we all clear about CCL requirements now? hahaha Are we all clear about CCL requirements now? hahaha by	0 replies 47 views 0 likes	Anonymous 23 Oct 2013
Clients told “6-18% return was guaranteed!” Clients told “6-18% return was guaranteed!” by	0 replies 43 views 0 likes	Anonymous 18 Oct 2013
FCA 'disclosure rules added unnecessary costs for advisers' FCA 'disclosure rules added unnecessary costs for advisers' by	0 replies 36 views 0 likes	Anonymous 10 Oct 2013
Is the FCA seriously looking into the advice gap? Is the FCA seriously looking into the advice gap? by	0 replies 50 views 0 likes	Anonymous 10 Oct 2013
FCA review into execution-only begins... FCA review into execution-only begins... by	0 replies 44 views 0 likes	Anonymous 7 Oct 2013
FCA faces calls for 'in reserve' money to be capped FCA faces calls for 'in reserve' money to be capped by	1 replies 45 views 0 likes	Anonymous 4 Oct 2013
MMR workshop Glasgow 5th November MMR workshop Glasgow 5th November by	1 replies 28 views 0 likes	Anonymous 2 Oct 2013
Up to 6 month delays for FCA authorisation Up to 6 month delays for FCA authorisation by	2 replies 37 views 0 likes	Anonymous 2 Oct 2013
FCA: 'Not interested in whether charges are value for money’ FCA: 'Not interested in whether charges are value for money’ by	0 replies 42 views 0 likes	Anonymous 2 Oct 2013
MMR Workshops - gone from £20 to now £35 (75% increase) MMR Workshops - gone from £20 to now £35 (75% increase) by Anonymous	0 replies 21 views 0 likes	Anonymous 1 Oct 2013
Crippling blow due to FCA clampdown on incentives to advisers Crippling blow due to FCA clampdown on incentives to advisers by	1 replies 62 views 0 likes	Anonymous 30 Sep 2013
FCA further delays ‘capital adequacy rules’ FCA further delays ‘capital adequacy rules’ by	0 replies 19 views 0 likes	Anonymous 30 Sep 2013
Gabriel - PI Section Gabriel - PI Section by	2 replies 56 views 0 likes	Anonymous 28 Sep 2013
Why does FCA take action against IFA BUT NOT BANKS! Why does FCA take action against IFA BUT NOT BANKS! by	1 replies 102 views 0 likes	Anonymous 26 Sep 2013