Search ResultsShowing 1 - 10 of 36 results for "Financial Conduct Authority"
APRA opens margin requirement talks
HARRISON WORLEY  |  THURSDAY, 15 AUG 2019
... regulator proposes to add its UK counterpart, the Prudential Regulation Authority (PRA) and the Financial Conduct Authority to the list of foreign bodies eligible for substituted compliance with APRA's margin requirements in CPS 226 after Brexit. ...
Standard Life Assurance fined for hawking non-advised annuities
KARREN VERGARA  |  WEDNESDAY, 24 JUL 2019
... a £30.8 million ($54.9m) fine by the UK regulator for hawking non-advised annuities. The Financial Conduct Authority found SLA offered its call centre staff "significant bonuses and rewards" if they exceeded targets for selling annuities ...
YouTube fundie called out by FCA
ELIZABETH MCARTHUR  |  FRIDAY, 19 JUL 2019
The UK's Financial Conduct Authority has criticised Neil Woodford who famously issued a tearful YouTube apology to investors whose money was frozen in one of his funds. Woodford Investment Management suspended trading in its Woodford Equity Income ...
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
The Financial Conduct Authority published an intergenerational wealth discussion paper in the hopes of igniting debate over how the financial services industry should respond to the nation's shifting demographics. The discussion paper poses a ...
Crypto scams bite UK
HARRISON WORLEY  |  TUESDAY, 21 MAY 2019
... Kingdom lost more than £27 million to cryptoasset and forex scams in the last year. The Financial Conduct Authority is urging UK citizens to be wary of investment scams carried out through "bogus" online trading platforms, after the ...
FCA begins financial advice market review
KARREN VERGARA  |  WEDNESDAY, 8 MAY 2019
... of the financial advice market to determine how well it is delivering on consumer outcomes. The Financial Conduct Authority is requesting feedback on its two major initiatives that sought to improve the distribution of retail financial services ...
UBS fined $51m for reporting breaches
KARREN VERGARA  |  THURSDAY, 21 MAR 2019
... million ($51.1m) fine for breaching reporting rules stretching nearly a decade. UK regulator the Financial Conduct Authority found UBS did not provide complete and accurate information relating to about 87 million reportable transactions. A ...
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 ...
ASIC gears up for Brexit
KANIKA SOOD  |  MONDAY, 11 FEB 2019
... in a statement. ASIC said it will enter into new memorandums of understanding (MoU) with the UK's Financial Conduct Authority (FCA). This is because the FCA is set to take over from the European Securities and Markets Authority (ESMA), the ...
PAGE:
1
2
3
4
PREVIOUS
NEXT
Link to something 8fvn7lce