Search ResultsShowing 1 - 10 of 44 results for "FCA"
Standard Life Assurance fined for hawking non-advised annuities
KARREN VERGARA  |  WEDNESDAY, 24 JUL 2019
... financial advice. Nearly 22% of sales staff received more than 100% of their base salary in bonus payments, leading the FCA to believe call handlers would place their own financial interests ahead of the customer. The firm failed to provide some ...
Pendal Group appoints international business lead
ELIZABETH MCARTHUR  |  TUESDAY, 23 JUL 2019
... her new role, Altinger will report to Gonzalez and be a member of the Pendal Group Global Executive Committee. The appointment will be effective 9 September 2019 and, as she will be based in London, is subject to FCA regulatory approval in the UK.
YouTube fundie called out by FCA
ELIZABETH MCARTHUR  |  FRIDAY, 19 JUL 2019
... Woodford to take to YouTube to explain the liquidity issues and apologise to investors - whose money was trapped. Now, FCA chief executive Andrew Bailey has commented on Woodford's actions. In a speech at the FCA's annual public meeting, Bailey ...
YouTube fundie woes continue
ELIZABETH MCARTHUR  |  WEDNESDAY, 19 JUN 2019
The UK's Financial Conduct Authority (FCA) has opened an investigation into the events surrounding the suspension of the Woodford Equity Income Fund, with Link Group now caught in the scandal. Earlier this month, star UK fund manager Neil Woodford ...
FCA stokes intergenerational wealth debate
HARRISON WORLEY  |  THURSDAY, 23 MAY 2019
... demographics. The discussion paper poses a series of questions designed to engender a nationwide conversation on how the FCA and the financial services industry should meet consumers' changing needs. The FCA said it recognises the way people build ...
Crypto scams bite UK
HARRISON WORLEY  |  TUESDAY, 21 MAY 2019
... online trading platforms, after the nation lost £27 million to crypto and forex scams so far in FY18/19. The FCA said crypto and forex scam reports more than tripled in the last year, clearing 1800. According to the UK's national fraud ...
FCA begins financial advice market review
KARREN VERGARA  |  WEDNESDAY, 8 MAY 2019
... delivers. It will also consider how new market trends and developments might affect the future development of advice. FCA executive director of strategy and competition Christopher Woolard said consumers and the market are changing rapidly, as ...
FCA hits Goldman Sachs over reporting failures
HARRISON WORLEY  |  FRIDAY, 5 APR 2019
... conduct regulator has fined Goldman Sachs International more than £34 billion over historic reporting breaches. The FCA revealed the fine late last month and said the global giant had failed to provide accurate and timely reporting relating ...
UBS fined $51m for reporting breaches
KARREN VERGARA  |  THURSDAY, 21 MAR 2019
... relating to about 87 million reportable transactions. A further 49.1 million transactions were reported in error. The FCA said the failings relate to UBS's change management processes, maintaining reference data used in its reporting and how it ...
KPMG brings remediation regtech to Australia
HARRISON WORLEY  |  TUESDAY, 5 MAR 2019
... solutions to Australian financial institutions. The firm was founded in 2013 after the Financial Conduct Authority (FCA) took action against the UK finance industry over a host of issues. According to KPMG, Recordsure can help financial ...
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