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Results: 1-10 of 203

FCA Focus on Suitability
  • RPC
  • United Kingdom
  • May 13 2016

Have you received a request from the FCA for your suitability reports recently? If so, you're in good company. Hundreds of IFA firms received a


Investor's claim sets up advisory duty
  • RPC
  • Hong Kong
  • April 26 2016

The courts in Hong Kong have generally been consistent in rejecting investors' mis-selling claims and in upholding the banks' reliance on the


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


FX trader fails in third-party rights challenge to FCA
  • RPC
  • United Kingdom
  • January 18 2016

The Upper Tribunal has rejected the well-publicised complaint by Christopher Ashton that the FCA identified him in two decision notices without


Getting ahead of the curve: EBA consults on 'robo-advisers'
  • RPC
  • European Union
  • December 17 2015

Technology will transform the financial advice world, and this transformation has already begun. The global assets under the management of


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