Regulation

Whistleblowers make 2,754 separate allegations of financial misconduct to FCA

Regulation

Whistleblowers make 2,754 separate allegations of financial misconduct to FCA

Around £190m in financial penalties had been handed out

clock 12 August 2021 • 2 min read
Wealth manager Dolfin Financial collapses after FCA probe

Wealth managers

Wealth manager Dolfin Financial collapses after FCA probe

Smith & Williamson appointed as special administrator

clock 02 July 2021 • 1 min read
FCA eyes new consumer protection rules for product providers and distributors

Regulation

FCA eyes new consumer protection rules for product providers and distributors

FCA sets out plans for a new Consumer Duty

clock 14 May 2021 • 4 min read
Ninety One AoV: Nearly a third of funds do not offer value to investors

Regulation

Ninety One AoV: Nearly a third of funds do not offer value to investors

Two UK funds among those questioned

clock 10 August 2020 •
Short selling spikes in March as coronavirus crisis deepens

Equities

Short selling spikes in March as coronavirus crisis deepens

Up 40% year on year

clock 31 March 2020 •
FCA publishes guidance on treatment of vulnerable customers

Regulation

FCA publishes guidance on treatment of vulnerable customers

'Embedded culture'

clock 23 July 2019 •
FCA grilled platforms on asset freezes in March before Woodford saga

Regulation

FCA grilled platforms on asset freezes in March before Woodford saga

Consulted on fund illiquidity

clock 17 June 2019 •
FCA grilled platforms on asset freezes in March before Woodford saga

Regulation

FCA grilled platforms on asset freezes in March before Woodford saga

Consulted on fund illiquidity

clock 17 June 2019 •
FCA wins High Court case against unauthorised forex firm

Regulation

FCA wins High Court case against unauthorised forex firm

To repay £900,000 to customers

clock 22 May 2019 •
FSCS ups final levy for 2019/20 by £16m to £532m

Regulation

FSCS ups final levy for 2019/20 by £16m to £532m

Life, pensions and investment advice levy down £29m

clock 30 April 2019 •
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Invesco in 'early talks' merger with State Street's asset management arm - reports

17 September 2021 • 1 min read
04

'Pioneer' and titan of financial advice Alan Steel dies

17 September 2021 • 3 min read
05

PGIM Investments makes trio of senior hires

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