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Results: 1-10 of 156

FCA to allow FOS and FSCS claims over P2P advice
  • RPC
  • United Kingdom
  • March 24 2016

Consumers who receive advice on peer-to-peer lending should have recourse to FOS and the FSCS, the FCA confirmed this week. Previously, investors


CMC fees: money for nothing?
  • RPC
  • United Kingdom
  • March 3 2016

Do regulated Claims Management Companies charge too much in fees for consumers making financial services claims? The Ministry of Justice wants your


FCA may not be value for money, says NAO
  • RPC
  • United Kingdom
  • March 1 2016

The National Audit Office has reported its findings on the roles and effectiveness of the FCA, FOS and the FSCS in the management of mis-selling cases


What would Brexit mean for financial advisers? - a liability perspective
  • RPC
  • European Union, United Kingdom
  • February 26 2016

You cannot pick up a paper or check the news without seeing some reference to Brexit and the case for either staying in or leaving the Euro zone. My


Advisor due diligence thematic review report - short and not to the point
  • RPC
  • United Kingdom
  • February 19 2016

There's an irony in a report on due diligence being, in effect, just 2 pages long. The FCA's thematic review report today tells us more by what it


Financial Litigation roundup - Winter 2015
  • RPC
  • Hong Kong, Singapore, United Kingdom
  • December 17 2015

The High Court clarified the duties owed by financial institutions when providing regulated investment advice and conducting subsequent reviews of


FCA publish draft guidance on cloud services
  • RPC
  • United Kingdom
  • November 30 2015

The FCA has recently published draft guidance for firms outsourcing to the cloud and other third party IT services. This comes as part of the FCA's


Challenging decisions about authorisation
  • RPC
  • United Kingdom
  • November 16 2015

Rather than wait for newly authorised consumer credit firms to slip up and give the Financial Conduct Authority (FCA) reason to take enforcement


FCA fines finance director for failing to blow the whistle
  • RPC
  • United Kingdom
  • September 30 2015

Approved persons should be open and co-operative with their regulators, as highlighted by the FCA's recent enforcement action against Craig McNeil, former Keydata finance director


New FCA Handbook and FS register: welcome to the 21st century
  • RPC
  • United Kingdom
  • September 11 2015

The FCA has updated and consolidated its Handbook and FS register. The changes not only include a much-needed facelift but also some useful new