Regulation

Investment

FCA fines UBS £28m for reporting failures

Relates to 136 million transaction reports

19 March 2019 • 1 min read

Industry

SLA tribunal triumph over Lloyds termination of £109bn mandate

Lloyds 'not entitled' to give notice

19 March 2019 • 3 min read

Investment

Four arrested as SFO investigates collapsed London Capital & Finance

'Misleading, unclear, unfair' promotions

19 March 2019 • 1 min read

Industry

Calls for FCA to take charge on SMCR harassment rules

Guidance on dealing with misconduct ahead of regulation launch

18 March 2019 • 3 min read

Asset Managers

'Increasingly uncompetitive': BNP Paribas AM tightens coal investment policy

'Reduce the economic risk'

15 March 2019 • 3 min read

Platforms

'Ensuring healthy competition in the sector': Industry welcomes FCA's Platform Market study

Consultation paper published today

14 March 2019 • 6 min read

Regulation

FCA proposes 'in specie' transfers and unit class conversions to improve platform switching

Proposed changes to effect from 31 July 2020

14 March 2019 • 5 min read

Regulation

FCA weighs platform exit fee ban

Follows Investment Platforms Market Study

14 March 2019 • 1 min read

Fund managers

Investment Conundrums: Fulcrum AM CIO Shaikh eyes climbing recession risk amid slowing growth

Dovish Fed contributing to forecast

12 March 2019 • 4 min read

Regulation

Regulators to explore removing 'barriers' to addressing 'unprecedented' climate risk

First meeting of Climate Financial Risk Forum

12 March 2019 • 2 min read