Regulation

FCA financial advice director Linda Woodall exits

Retiring from regulation

03 January 2018 • 1 min read

European Commission proposes to delay IDD by seven months

To 1 October 2018

20 December 2017 • 2 min read

FOS: Now not right time to change funding model

The Financial Ombudsman Service (FOS) will maintain its current funding model for the next financial year despite recognising it is unsustainable in its current form.

14 December 2017 • 1 min read

FCA gives firms a year for certification tests under SM&CR

The FCA has confirmed that, while businesses will have to identify certified staff from day one under the Senior Managers & Certification Regime (SM&CR), they will have a year to complete fitness and propriety assessments.

14 December 2017 • 2 min read

FCA fines ex-Axa owned insurance broker £4m

'Independence was compromised'

07 December 2017 • 1 min read

Regulation

Matt Riordan: How can you meet MiFID II recording requirements?

Firms that fail to put processes in place to meet the requirements of MiFID II now will undoubtedly feel the strain - both financially and operationally - in the near future, warns Matt Riordan

04 December 2017 • 5 min read