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Results: 1-10 of 164

Introducers & Inappropriate Influence
  • RPC
  • United Kingdom
  • August 8 2016

Last week must have been a busy one for those working at the FCA. Not only did we have the recent announcement regarding likely forthcoming changes to


FCA finds shortcomings in principal firms' control and oversight of their ARs
  • RPC
  • United Kingdom
  • August 3 2016

The Financial Conduct Authority's (FCA's) thematic review of principal firms and their appointed representatives (ARs) has identified significant


FCA finds shortcomings in control and oversight of principals and their ARs
  • RPC
  • United Kingdom
  • August 2 2016

The Financial Conduct Authority's (FCA) report on its thematic review of principal firms and their appointed representatives (ARs) has identified


How would a Brexit affect financial services regulation in the UK?
  • RPC
  • European Union, United Kingdom
  • June 6 2016

Financial services is one of the UK's most important sectors, contributing over £126bn to the UK economy and representing 10 of GDP. The key


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