FCA Regulation

Topics

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
Labour says FCA should be held more accountable Labour says FCA should be held more accountable by	1 replies 16 views 0 likes	Anonymous 25 Sep 2013
The FCA The FCA by Anonymous	1 replies 58 views 0 likes	Anonymous 20 Sep 2013
"Why let product providers keep the windfall profits of undistributed commission?" "Why let product providers keep the windfall profits of undistributed commission?" by	3 replies 246 views 0 likes	Anonymous 19 Sep 2013
FCA don’t intend to cap payday loan APRs FCA don’t intend to cap payday loan APRs by	1 replies 17 views 0 likes	Anonymous 11 Sep 2013
Ex FSA director joins Ernst & Young (another in a long line joining large firms after leaving FSA...) Ex FSA director joins Ernst & Young (another in a long line joining large firms after leaving FSA...) by	1 replies 44 views 0 likes	Anonymous 6 Sep 2013
Urgent review of RMAR in demand Urgent review of RMAR in demand by	1 replies 16 views 0 likes	Anonymous 4 Sep 2013
CCL Rip Off CCL Rip Off by	2 replies 78 views 0 likes	Anonymous 4 Sep 2013
Gabriel reporting boycott - will you join if problem persists? Gabriel reporting boycott - will you join if problem persists? by	2 replies 171 views 0 likes	Anonymous 30 Aug 2013
Advisers are urging FCA to create a level playing field on capping advice liability Advisers are urging FCA to create a level playing field on capping advice liability by	1 replies 11 views 0 likes	Anonymous 29 Aug 2013
Advisory firms without business plans could be deemed “high risk” by the FCA Advisory firms without business plans could be deemed “high risk” by the FCA by	1 replies 78 views 0 likes	Anonymous 28 Aug 2013
Limit to Advice Liability Petition Limit to Advice Liability Petition by	0 replies 4 views 0 likes	Anonymous 28 Aug 2013
Dougie Dougie by	6 replies 310 views 0 likes	Anonymous 27 Aug 2013
Sants & Turner - So much for no reward for failure… Sants & Turner - So much for no reward for failure… by	5 replies 84 views 0 likes	Anonymous 22 Aug 2013
FCA considering an ‘end date' for trail commission FCA considering an ‘end date' for trail commission by	26 replies 787 views 0 likes	Anonymous 21 Aug 2013
"My first RMAR took an entire Sunday." "My first RMAR took an entire Sunday." by	1 replies 46 views 0 likes	Anonymous 19 Aug 2013
Do the FCA have the legal power to end trail? Do the FCA have the legal power to end trail? by	5 replies 266 views 0 likes	Anonymous 17 Aug 2013
FCA had ‘no concerns’ re the BO Ireland increase. Now? FCA had ‘no concerns’ re the BO Ireland increase. Now? by	5 replies 132 views 0 likes	Anonymous 13 Aug 2013
Probe to see if the FCA is 'value for money' Probe to see if the FCA is 'value for money' by	5 replies 127 views 0 likes	Anonymous 12 Aug 2013
FCA - Commission ban on non-advised business? FCA - Commission ban on non-advised business? by	1 replies 34 views 0 likes	Anonymous 12 Aug 2013
Wheatley's comments were 'ill advised' & 'overstepped commercial lines' Wheatley's comments were 'ill advised' & 'overstepped commercial lines' by	2 replies 30 views 0 likes	Anonymous 9 Aug 2013
FCA reconsidering plans to ‘name & shame’ over warning notices FCA reconsidering plans to ‘name & shame’ over warning notices by	2 replies 67 views 0 likes	Anonymous 9 Aug 2013
The FCA directors appointed to supervise advisers… The FCA directors appointed to supervise advisers… by	3 replies 52 views 0 likes	Anonymous 9 Aug 2013
Could this be the end of the small adviser firms? Could this be the end of the small adviser firms? by	3 replies 221 views 0 likes	Anonymous 9 Aug 2013
FCA fail to include a cap on bankers’ bonuses in new rules… FCA fail to include a cap on bankers’ bonuses in new rules… by	2 replies 19 views 0 likes	Anonymous 8 Aug 2013
FCA rejects poor feedback over ‘skilled person’ reports FCA rejects poor feedback over ‘skilled person’ reports by	1 replies 6 views 0 likes	Anonymous 6 Aug 2013
FCA creates regulatory 'hit squad'... FCA creates regulatory 'hit squad'... by	4 replies 204 views 0 likes	Anonymous 26 Jul 2013
IFA given 4 days to complete FCA review? IFA given 4 days to complete FCA review? by	3 replies 135 views 0 likes	Anonymous 24 Jul 2013
'Approved person' or 'Senior person'? What's the difference? 'Approved person' or 'Senior person'? What's the difference? by	1 replies 20 views 0 likes	Anonymous 23 Jul 2013
FCA considers options to check clients are happy with on-going adviser fees FCA considers options to check clients are happy with on-going adviser fees by	1 replies 29 views 0 likes	Anonymous 23 Jul 2013
FCA defend Sants’ six months paid gardening leave FCA defend Sants’ six months paid gardening leave by	3 replies 90 views 0 likes	Anonymous 19 Jul 2013
Adviser numbers barely above 20,000… Adviser numbers barely above 20,000… by	1 replies 66 views 0 likes	Anonymous 17 Jul 2013
FCA to review firms dealing with unregulated third parties FCA to review firms dealing with unregulated third parties by	1 replies 98 views 0 likes	Anonymous 12 Jul 2013
FCA views on SVR hikes after BOI FCA views on SVR hikes after BOI by	1 replies 8 views 0 likes	Anonymous 12 Jul 2013
Wheatley’s fat pay-packet… Wheatley’s fat pay-packet… by	4 replies 58 views 0 likes	Anonymous 11 Jul 2013
Approved Persons Regime "Nightmare and ridiculous overkill." Approved Persons Regime "Nightmare and ridiculous overkill." by	1 replies 65 views 0 likes	Anonymous 11 Jul 2013
Are FCA fines ruining all trust in financial services? Are FCA fines ruining all trust in financial services? by	1 replies 27 views 0 likes	Anonymous 11 Jul 2013
FCA Website - does it imply we are all crooks? FCA Website - does it imply we are all crooks? by	3 replies 137 views 0 likes	Anonymous 10 Jul 2013
FCA “should not be seen as the enemy…” FCA “should not be seen as the enemy…” by	2 replies 65 views 0 likes	Anonymous 9 Jul 2013
Assessment email Assessment email by	2 replies 170 views 0 likes	Anonymous 5 Jul 2013