Regulation
Wealth managers
The Financial Conduct Authority (FCA) is preparing to fine Santander UK in the region of £12.5m for faulty investment advice, according to reports.
26 March 2014
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1 min read
Wealth managers
The House of Lords' economic affairs committee has recommended a delay to the government's imminent tax crackdown on limited liability partnerships (LLPs).
13 March 2014
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Wealth managers
A 21-year-old has been arrested and interviewed as part of a Financial Conduct Authority (FCA) investigation into boiler room fraud.
13 March 2014
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1 min read
Wealth managers
The Financial Conduct Authority has appointed a former managing director from Bank of America Merrill Lynch to head its investment banking supervision team.
12 March 2014
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1 min read
Wealth managers
All the major retail banks and most medium-sized and smaller firms have made "significant" changes to their sales incentive schemes, but concerns over enticements linked to bank investment and protection sales remain, the Financial Conduct Authority (FCA)...
04 March 2014
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1 min read
Wealth managers
The Financial Conduct Authority (FCA) has declared itself pleased with platforms' progress towards meeting new rules due to be introduced next month, though it has highlighted some areas in need of improvement and called for "further progress" on re-registration....
03 March 2014
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1 min read
Financial services
Criminal gangs who trick people into investing in worthless shares have been targeted by police in the biggest ever international crackdown on the fraud.
28 February 2014
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1 min read
Wealth managers
The Financial Conduct Authority (FCA) is investigating the US-based parent group of UK fund giant Invesco Perpetual over its past compliance with the regulator's rules.
28 February 2014
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1 min read
