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Results: 1-10 of 192

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


IFAs quizzed by FCA over insistent clients
  • RPC
  • United Kingdom
  • December 15 2015

The FCA has asked IFAs to explain how they deal with situations where clients wish to act against advice on pension transfers. The FCA has sent a


FCA publish draft guidance on cloud services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The FCA has recently published draft guidance for firms outsourcing to the cloud and other third party IT services.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


Cheating or competing: the blurred lines of business
  • RPC
  • United Kingdom
  • November 11 2015

Volkswagen, Forex, LIBOR and Enron. All names that resonate with anyone involved in modern business. In recent times, it seems a major corporate


Back to the future: FAMR could result in automated distribution, not robo-advice
  • RPC
  • United Kingdom
  • November 4 2015

'Back to the Future day' prompted myriad summaries of where technology has got us and where we're headed. FinTech and robo-advice, in particular, are


Third party rights relating to final notices trump litigation deadlines at the Upper Tribunal
  • RPC
  • United Kingdom
  • November 3 2015

In its recent decision the Upper Tribunal allowed for a late filing of a reference on third party rights in relation to FCA final notices. Background


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