FCA Regulation

Topics

Wrong! - FCA’s Exec-only disclaimer view Wrong! - FCA’s Exec-only disclaimer view by	2 replies 180 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 78 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 391 views 0 likes	Anonymous 30 Apr 2013
Clients used brokerage to ‘facilitate financial crime’ Clients used brokerage to ‘facilitate financial crime’ by	1 replies 35 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 717 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 69 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 12 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 17 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 10 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 107 views 0 likes	Anonymous 15 Apr 2013
FCA warning to unscrupulous advisers FCA warning to unscrupulous advisers by	1 replies 53 views 0 likes	Anonymous 15 Apr 2013
Financial Services – Sexy industry with desirable products! Financial Services – Sexy industry with desirable products! by	2 replies 24 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 35 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 178 views 0 likes	Anonymous 8 Apr 2013
FCA - do I need to do anything?!!! FCA - do I need to do anything?!!! by	3 replies 112 views 0 likes	Anonymous 8 Apr 2013
Surge in regulatory costs Surge in regulatory costs by	5 replies 100 views 0 likes	Anonymous 8 Apr 2013
New Libor rules New Libor rules by	1 replies 5 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 112 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 75 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 51 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 25 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 96 views 0 likes	Anonymous 7 Mar 2013
Sants and his ‘blind eye’ Sants and his ‘blind eye’ by	7 replies 211 views 0 likes	Anonymous 7 Mar 2013
Whistleblow while you work – and get paid! Whistleblow while you work – and get paid! by	2 replies 120 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 22 views 0 likes	Anonymous 5 Mar 2013
FCA + PRA = 4,000 staff – and counting! FCA + PRA = 4,000 staff – and counting! by	2 replies 64 views 0 likes	Anonymous 4 Mar 2013
“More litigious” FSA? “More litigious” FSA? by	1 replies 25 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 51 views 0 likes	Anonymous 28 Feb 2013
3 arrests, The Met, The FSA and market abuse 3 arrests, The Met, The FSA and market abuse by	1 replies 30 views 0 likes	Anonymous 27 Feb 2013
How would the FSA view tactical asset allocation? How would the FSA view tactical asset allocation? by	1 replies 12 views 0 likes	Anonymous 27 Feb 2013
Yet again advisers pay... Yet again advisers pay... by	1 replies 69 views 0 likes	Anonymous 22 Feb 2013
FSA aware of rate fixing since 2008! Shame on them FSA aware of rate fixing since 2008! Shame on them by	3 replies 99 views 0 likes	Anonymous 21 Feb 2013
MAS - £4m of OUR money paid out in redundancies! MAS - £4m of OUR money paid out in redundancies! by	10 replies 222 views 0 likes	Anonymous 20 Feb 2013
FSA backs down re Platform cash rebates! FSA backs down re Platform cash rebates! by	2 replies 28 views 0 likes	Anonymous 20 Feb 2013
Sants successor – Andrew Bailey Sants successor – Andrew Bailey by	1 replies 10 views 0 likes	Anonymous 19 Feb 2013
FCA will go after Fund Managers! FCA will go after Fund Managers! by	1 replies 11 views 0 likes	Anonymous 19 Feb 2013
What you are charging is now officially under scrutiny What you are charging is now officially under scrutiny by	1 replies 84 views 0 likes	Anonymous 19 Feb 2013
Adviser losses. So sad. Worse than even we anticipated Adviser losses. So sad. Worse than even we anticipated by	2 replies 277 views 0 likes	Anonymous 17 Feb 2013
FSA stance on advisers’ passive propositions FSA stance on advisers’ passive propositions by	1 replies 17 views 0 likes	Anonymous 15 Feb 2013
Are FSA anticipating a ‘run’ on insurers then? Are FSA anticipating a ‘run’ on insurers then? by	2 replies 69 views 0 likes	Anonymous 13 Feb 2013