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Showing 81 - 90 of 117 results for "FCA"

Industry dubious about one regulatory body: Survey

KARREN VERGARA  |  MONDAY, 10 DEC 2018
... of England (BOE); Prudential Regulation Authority (PRA), which is a division of the BOE; and Financial Conduct Authority (FCA). Singapore on the other hand is governed by one regulator - the Monetary Authority of Singapore (MAS). The Royal Commission ...

BEAR should be expanded, ASIC included: Shipton

JAMIE WILLIAMSON  |  FRIDAY, 23 NOV 2018
... encompass all ASIC regulated entities, Orr referred to the UK Financial Conduct Authority's similar Senior Managers Regime which FCA staff are also required to adhere to. When questioned whether ASIC would intend to apply the fundamental principles of ...

Inside Bennelong and its UK engine room

DARREN SNYDER  |  TUESDAY, 20 NOV 2018
... increased the chances of a disorderly exit, he expects co-operation agreements to be signed with the Financial Conduct Authority (FCA) and European regulators to allow UK based fund managers to continue to manage European domiciled funds. It would be ...

UK adviser competency to be re-evaluated

JAMIE WILLIAMSON  |  THURSDAY, 6 SEP 2018
... counterparts, with the Financial Conduct Authority introducing a new assessment aimed at raising standards and competence. The FCA has partnered with the Chartered Insurance Institute to develop a 'Regulated Retail Investment Adviser Re-evaluation' test ...

UK fund managers must improve fairness

DARREN SNYDER  |  FRIDAY, 13 APR 2018
... rules for fund managers as part of its ongoing study into the asset management market. The latest Financial Conduct Authority (FCA) report states that fund managers, as the agents of investors in their funds, must appoint two independent board directors. ...

Former Fidante-aligned boutique targeted by UK regulator

JAMIE WILLIAMSON  |  THURSDAY, 30 NOV 2017
... stock listing in 2014. In a statement, Newton IM said it is not in a position to comment on any actions with regard to the FCA's ongoing investigation, except to note that it has been cooperating fully with the regulator and will continue to do so. It ...

UK regulator increases support for new starters

JAMIE WILLIAMSON  |  FRIDAY, 29 SEP 2017
... Conduct Authority will establish a hub to assist new entrants to the industry. Speaking at an investment conference in Europe, FCA executive director of supervision - investment, wholesale and specialists Megan Butler said a lot of red tape protects ...

UK asset consultants face competition scrutiny

KARREN VERGARA  |  MONDAY, 18 SEP 2017
... consultants have been referred to a consumer protection and anti-competition watchdog to further investigate the industry. The FCA announced it made a final decision to formally refer its concerns to the Competition and Markets Authority (CMA). There ...

Broaden ASIC banning powers: Report

KARREN VERGARA  |  THURSDAY, 7 SEP 2017
... capacity, the taskforce said. The taskforce used similar examples overseas whereby in the UK the Financial Conduct Authority (FCA) can exercise its power to prohibit an individual who is not fit and proper in carrying out their duties. In March 2016 ...

Hollywood star supports FCA complaints campaign

KARREN VERGARA  |  WEDNESDAY, 30 AUG 2017
The UK's Financial Conduct Authority (FCA) has enlisted the help of a Hollywood superstar to alert consumers affected by the decade-long payment protection insurance (PPI) scandal to make a formal complaint as soon as possible. A campaign featuring ...