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Financial Conduct Authority

Regulation

FCA finds 73% of adviser firms unclear on advice costs

Nearly three quarters of firms are still failing to show clients the true cost of advice, the regulator has found in what it calls a "wake-up call" for the industry which has already put two firms at risk of enforcement action.

clock 07 April 2014 •

Regulation

Chancellor joins the fray over 'damaging' FCA probe leak

Chancellor George Osborne has written to the chairman of the Financial Conduct Authority (FCA) criticising the regulator for its "damaging" behaviour in releasing details of its investigation into insurance policies before a formal announcement.

clock 01 April 2014 •

Regulation

FCA clarifies stance on life policies

The Financial Conduct Authority (FCA) has clarified its aims on how it will tackle consumer detriment following reports of an investigation into historic life policies.

clock 28 March 2014 •

Regulation

FCA - most advisers describing 'independent' financial advice accurately

A thematic review by the Financial Conduct Authority (FCA) has found most advisory firms describing their service as ‘independent' appeared to use the description accurately.

clock 20 March 2014 •

Regulation

FCA clarifies inducements law for advisers attending awards ceremonies

Providers purchasing tables at awards ceremonies and inviting advisers to sit on them will likely not be in breach of the Financial Conduct Authority's (FCA's) requirements on inducements, it has confirmed.

clock 19 March 2014 •

Regulation

Payday lenders face FCA probe over debt collection methods

The Financial Conduct Authority is to carry out an in-depth review of the way payday lenders treat struggling customers when it takes over regulation of the sector on 1 April.

clock 12 March 2014 •

Regulation

Payment systems industry to have new regulator - FCA

A new regulator to oversee UK payment systems will be introduced by April 2015.

clock 05 March 2014 •

Adviser / Broking

National IFA chief calls for end to advice 'middle ground'

Chris Smallwood, the chief executive of Openwork-owned national IFA 2plan, has called on the regulator to crack down on what he said were 'misleading' terms used by some restricted advice firms to describe their services.

clock 03 March 2014 •

Regulation

Former adviser banned for fabricating SPS

A former investment adviser has been fined £19,900 and banned by the Financial Conduct Authority (FCA) for fabricating his Statement of Professional Standing by using a template he found online.

clock 30 January 2014 •

Regulation

FCA tightens net on adviser inducements in final guidance

Advisers and providers share the burden of responsibility for managing potential conflicts of interest, the Financial Conduct Authority (FCA) has said in a guidance paper out today.

clock 16 January 2014 •
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