01 September 2014
The Serious Fraud Office (SFO) is investigating the suspended £120m Axiom Legal Financing fund and its founder Tim Schools, Professional Adviser understands.
29 August 2014
Capita’s administration arm has written to a number of Arch cru investors asking them to return money from the redress scheme, after the payouts breached tax rules.
29 August 2014
The Financial Conduct Authority (FCA) has fined the director of a London advice firm £350,000 and banned him from practising for mis-selling high risk unregulated collective investment schemes (UCIS).
27 August 2014
The Whitechurch Network spent more than £704,000 in 2013 settling claims related to advice given by its appointed representatives on Keydata and Arch cru.
27 August 2014
The Financial Conduct Authority (FCA) has fined Royal Bank of Scotland and Natwest Bank £14.5m for failings in their mortgage advice.
26 August 2014
Some 97% of the £943m in fines collected by the financial regulator between 2010 and 2013 came from settlements, according to research from law firm Freshfields.
22 August 2014
The Financial Ombudsman Service (FOS) has ruled a financial adviser did not pressurise an investor to buy 600 company shares after listening to recordings of their conversations.
21 August 2014
The chair of the Financial Services Consumer Panel (FSCP) has offered harsh criticism of firms' efforts to improve how they deal with clients, saying most have not embraced the idea of treating customers fairly.
20 August 2014
The Financial Services Consumer Panel is to launch an investigation into fund management costs after claiming some of the charges are "unjustified".
15 August 2014
A director of a mortgage brokerage has been disqualified from acting as a company director for 13 years for misleading investors, the regulator and HMRC.
14 August 2014
Harlequin chairman David Ames is misleading investors into thinking the Financial Services Compensation Scheme (FSCS) backs a controversial trust he is trying to use to rescue his troubled overseas property scheme - a claim the scheme vehemently denies - information obtained from separate sources suggests.
07 August 2014
The Financial Conduct Authority's (FCA) newly published guidance on social media promotion leaves firms with 40 characters to promote their products on Twitter, warned a consultancy as it criticised the regulator for "not going far enough" in telling firms what they are allowed to do.
06 August 2014
The Financial Conduct Authority (FCA) has launched a consultation on the use of social media by regulated firms, after outlining its expectations of companies when communicating with customers via channels such as Twitter.
05 August 2014
The Financial Conduct Authority (FCA) is to restrict firms from selling contingent convertible securities (CoCos) to retail investors as of 1 October in the first use of its new consumer protection powers.
04 August 2014
The former boss of failed investment firm Keydata is suing the regulator for £371m, accusing it of a "politically motivated" abuse of power.
The Financial Conduct Authority (FCA) has outlined its five key tests for investment advice as part of a consultation examining the boundaries between different advice models.
Ian Stott, client services director at The Consulting Consortium, asks whether the regulator’s momentum is waning when it comes to skilled person reviews.
Investment Management Association (IMA) chief executive Daniel Godfrey says we should "interrogate quite hard" the assertion that the price of fund management has dropped elsewhere in the world, but not in the UK.
Shorting the Japanese yen while going long equities was a consensus trade last year. The pair have decoupled, but can the trade work again? Tilney Bestinvest's Sophie Muller investigates.
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