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Search ResultsShowing 1 - 10 of 66 results for "FCA"
Woodford flags comeback
KARREN VERGARA  |  WEDNESDAY, 17 FEB 2021
... was forced to act after Woodford announced that his new investment firm is in the works, reportedly operating out of Jersey. FCA director of enforcement and market oversight Mark Steward said Woodford has not applied for appropriate permissions to commence ...
QBE takes final hit in FCA test case
ELIZA BAVIN  |  MONDAY, 18 JAN 2021
... wording issues, losing its appeal bid in the High Court. The test case was launched by the UK Financial Conduct Authority (FCA) to resolve legal issues concerning the interpretation of common business interruption policy wordings, in relation to whether ...
Charles Schwab fails consumers, cops fine
KARREN VERGARA  |  TUESDAY, 22 DEC 2020
... compliance failures, the UK's Financial Conduct Authority has found, noting the two-year breach period to April 2019. The FCA determined CSUK did not adequately protect client assets by way of poor recordkeeping, failing to reconcile holdings, and not ...
Advisers should service cashed-up investors: FCA
KARREN VERGARA  |  FRIDAY, 4 DEC 2020
... contingent on an advice market that offers a broader range of consumer support services so they have the confidence to invest, the FCA found. Complaints made about dodgy financial advisers have dropped by more than a quarter (25%), from 2197 in 2016-17 ...
Three advisers banned for non-financial crimes
ELIZABETH MCARTHUR  |  FRIDAY, 6 NOV 2020
The UK's Financial Conduct Authority (FCA) has banned three people from working in financial services due to sex offences they had committed. The FCA's decision to ban the three individuals comes after Megan Butler, executive director of supervision ...
FCA reviews regulation of foreign financial services firms
KARREN VERGARA  |  FRIDAY, 25 SEP 2020
... should authorise and supervise foreign firms providing financial services in the UK as the Brexit transition period ends. The FCA announced it launched the consultation process in anticipating an increase in the number of international firms seeking ...
Platform cancels top 50 funds list
ELIZABETH MCARTHUR  |  TUESDAY, 5 MAY 2020
... the Hargreaves Lansdown platform. Possibly contributing to the platform's decision to axe the top 50 list, in February the FCA wrote to chief executives of platforms about conflicts of interest. "Firms operating Best Buy lists must construct them impartially ...
UK regulator fined for pension failure
HARRISON WORLEY  |  TUESDAY, 28 JAN 2020
... include sufficient information in a chair's statement to members of its staff pension plan. The Financial Conduct Authority (FCA) has been fined £2000 by UK pension scheme authority, The Pension Regulator (TPR). A list of enforcement activities ...
UK pension fund expands offering, climate risk policy
JAMIE WILLIAMSON  |  TUESDAY, 7 JAN 2020
... posed by climate change. Nest Invest, the investment subsidiary of pension fund Nest, has received authorisation from the FCA to operate an Occupational Pension Scheme. An OPS undertakes investment management on behalf of a trustee or pension scheme ...
YouTube fundie name erased from flagship
ELIZABETH MCARTHUR  |  TUESDAY, 17 DEC 2019
... sample (or vertical slice) of those assets or the time period needed for a sale which avoids a material price discount," the FCA said. "In the US, the Securities and Exchange Commission has recently adopted measures of liquidity based on this concept." ...
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