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Financial Conduct Authority

Regulation

Advisers have benefited from RDR - Wheatley

Advisers have generally benefited from the Retail Distribution Review (RDR) as their revenues have increased and they are more professional and better qualified, Financial Conduct Authority (FCA) chief executive Martin Wheatley has said.

clock 14 January 2014 •

Regulation

More work needed on 'adviser transparency' - FCA chief

The Financial Conduct Authority (FCA) is still concerned about transparency in the advice space, especially in relation to charging and independence, chief executive Martin Wheatley has said.

clock 14 January 2014 •

Regulation

FCA swings risk assessment spotlight on London advisers

The Financial Conduct Authority (FCA) is gearing up to interview London-based advisers about their risk assessment processes as it works its way across the country.

clock 13 January 2014 •

Regulation

Tyrie calls on FCA to scrap approved persons regime for advisers

Treasury committee chairman Andrew Tyrie has called on the regulator to scrap the "fundamentally flawed" approved persons regime for advisers and instead align the sector with the new standards being brought in for the banking industry.

clock 08 January 2014 •

Regulation

FCA and PRA launch investigation into Co-op failures

The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have launched enforcement investigations into failures at the Co-operative Bank which led to it receiving a rescue package of £1.5bn from its parent company.

clock 06 January 2014 •

Regulation

New members for the FCA Consumer Panel

Three new members have been appointed to the Financial Services Consumer Panel.

clock 02 January 2014 •

Regulation

Which? awarded 'super-complainant' status

Consumer group Which? is among four organisations awarded ‘super-complainant' status by the government, meaning it has the power to present complaints to the Financial Conduct Authority (FCA), which must respond.

clock 19 December 2013 •

Regulation

FCA scales back consumer credit application fees for small firms

The Financial Conduct Authority (FCA) has revised its application fees for firms seeking full consumer credit authorisation, after it realised that small firms were facing "significant barriers to entry" due to cost.

clock 17 December 2013 •

Regulation

MPs blocked regulator's call to ban individuals during investigations

MPs have refused to grant the regulator the power to ban individuals before its investigations into them are completed, due in part to the "serious harm" it could cause small firms.

clock 09 December 2013 •

Regulation

Advisers welcome FCA clampdown on rogue firms

Advisers have welcomed the Financial Conduct Authority's (FCA) first crack-down on an advisory firm which had permissions to advise but no actual qualified advisers, although they say the regulator should have acted sooner.

clock 04 December 2013 •
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