News, Comment & Analysis results for FCA
Compliance Corner: FCA, Wholesale Brokerages, Money Laundering
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Assets Rise At UK's Quilter, Inflows Gain
Among other points, the UK firm said it expects to give an update on a review about historical data...
Compliance Corner: FCA Fines Barclays £40 Million Over 2008 Qatari Capital
Barclays said that it wanted to "draw a line" under the issues and did not want to contest the...
Wealth Sector Welcomes UK Regulator's Non-Financial Misconduct Report
The FCA's study, carried out over a three-year period, shines a light on issues such as...
Wealth Managers Cautiously Welcome FCA's Sustainability Labels
The Financial Conduct Authority labelling regime aims to qualify sustainable investment funds,...
Compliance Corner: FCA Fines UK's Starling Over Financial Crime Failings
The latest compliance news: regulatory developments, punishments, guidance, permissions and new...
Fidelity Gains FCA Approval To Launch Long-Term Asset Fund
The launch comes as the UK’s Financial Conduct Authority (FCA), along with other regulators,...
UK Calls Financial Firms To Treat PEPs Fairly After 2023 Debanking Storm
The FCA wants financial firms to be careful about the way they handle politically exposed persons....
Compliance Corner: Fenergo, First Abu Dhabi Bank; FCA Delays PEP Report
The latest compliance news: regulatory developments, punishments, guidance, permissions, new...
SJP, ABI Welcome UK Plan On Future Of Targeted Support And Simplified Advice
UK wealth manager St James’s Place and the Association of British Insurers react to the...
Comment & Analysis results for FCA
The Lockdown: How Wealth Managers Are Coping
For a sense of the immediate impact of the health crisis on wealth managers as they meet client and...
The regulation of advisers: the FCA's promises for 2014
Chris Hannant, the director-general of the UK's Association of Professional Financial Advisers,...
The FCA Targets the Wealth Management Industry
In this article Harvey Knight, a partner at the global law firm of Withers, gives us a blow-by-blow...
THE UK'S BRIBERY ACT: WHAT IT MEANS FOR WEALTH MANAGERS
With the Financial Conduct Authority reportedly reviewing at least 22 asset management firms for...
THE FCA INTERVIEW: A NEW WEALTH MANAGEMENT POLICY
Recently CM interviewed Clive Adamson, the genial head of the British FCA’s supervision...
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