FCA
Regulation | 10 Jul 24
FCA actions FATF call for criminal record checks on new firm owners
Currently, the UK regulator requires only risk-based checks on some applicants
FCA fines advice firm £898K and bans pair over British Steel pension transfers
Firm operated a contingent charging model
St James’s Place share price falls over 30% following full-year results
Citi and JP Morgan Cazenove react to dividend cuts and provisions
Tax & Regulation | 27 Feb 24
FCA planning to announce investigations and speed them up
Decisions would be taken on a case-by-case basis
Best Practice | 21 Feb 24
How to meet financial regulation in the letter and the spirit of the law
Suitability regulations should be more than a box-ticking exercise, writes Oxford Risk’s Greg Davies