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News by: Michelle Abrego

Lucky escape: when firms avoid FCA fines

by Jun Merrett, Michelle Abrego on Jul 24, 2014 at 15:31

We take a look at the top 10 times firms have escaped being fined by the regulator.

Consumer panel: FCA must take action over RDR non-compliance

by Michelle Abrego on Jul 24, 2014 at 15:25

FSCP has called for the regulator take action against firms not complying with the RDR.

FCA faces new calls to redraft independence rules

by Michelle Abrego on Jul 24, 2014 at 10:37

ICAEW has raised its concerns over the FCA's independence rules.

Financial Ltd hiring ban could trigger exodus

by Michelle Abrego on Jul 24, 2014 at 08:20

Regulatory lawyer warns FCA recruitment ban could kill-off firm

FOS appoints new chief executive

by Michelle Abrego on Jul 23, 2014 at 15:04

The FOS has appointed Caroline Wayman as chief ombudsman and chief executive.

DB to DC transfers: the good, the bad and the ugly

by Michelle Abrego on Jul 23, 2014 at 14:34

We take a look at what the FCA unearthed as good and bad practices in DB to DC transfers.

FCA imposes recruitment ban on network Financial Ltd

by Michelle Abrego on Jul 23, 2014 at 10:49

FCA has imposed a recruitment ban on network Financial.

FCA: focus on culture over compliance

by Michelle Abrego on Jul 23, 2014 at 10:44

The FCA says firms need to focus on culture over compliance.

FCA launches criminal prosecution over unauthorised investment scheme

by Michelle Abrego on Jul 23, 2014 at 10:02

The FCA has launched criminal proceedings against Phillip Boakes.

IFAs attack 'confusing' FCA simplified advice guidance

by Michelle Abrego on Jul 23, 2014 at 08:12

The FCA's guidance failed to achieve what it set out to do according to advisers.

Derby IFA boosts assets by 50% as banks exit advice

by Michelle Abrego on Jul 22, 2014 at 15:14

Midland Financial Solutions has built up £15 million in assets under advice after picking up 50 clients.

Alliance Trust launches new ethical funds

by Michelle Abrego on Jul 22, 2014 at 13:06

Alliance Trust has launched two new ethical funds.

Ex-JPM Cazenove chair faces £450k fine after losing appeal

by Michelle Abrego on Jul 22, 2014 at 10:21

Former investment banker Ian Hannam fined £450k for market abuse.

Advisers hit out at guidance guarantee levy proposals

by Michelle Abrego on Jul 22, 2014 at 07:56

Advisers angry they may foot 30% of the guidance bill.

Tyrie voices concerns over MAS role in guidance guarantee

by Michelle Abrego on Jul 21, 2014 at 15:34

MP Andrew Tyrie has ‘serious concerns’ over MAS' ability to deliver the guidance guarantee.

Sipps shortcomings: the failings that shook the FCA

by Michelle Abrego on Jul 21, 2014 at 15:24

We take a look at the regulator's concerns around Sipp firms' due diligence processes.

FCA proposes advisers foot 30% of guidance bill

by Michelle Abrego on Jul 21, 2014 at 12:47

Financial advisers to contribute to new guidance guarantee levy.

IFA embarks on 100 mile charity bike ride

by Michelle Abrego on Jul 21, 2014 at 11:48

Phil Melville is cycling 100 miles for charity Children in Crisis.

FCA uncovers failings in DB pension transfers

by Michelle Abrego on Jul 21, 2014 at 10:17

Over 30% of bulk DB pension transfers reviewed by the FCA were unsuitable. 

IFAs could face £12bn tax avoidance scheme mis-selling bill

by Michelle Abrego on Jul 21, 2014 at 09:35

Banks and financial advisers could be hit with a bill of £12 billion for mis-selling on tax-avoidance schemes.

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