FCA

Business roles

FCA sounds out Swiss regulatory head to replace Wheatley

The Financial Conduct Authority (FCA) has approached the head of the Swiss financial regulator about the possibility of succeeding Martin Wheatley as CEO, according to a report.

clock 17 December 2015 • 1 min read

Wealth Management

Why suitability is the 'problem which refuses to die'

Wealth managers struggling with FCA guidance

clock 16 December 2015 • 2 min read

Regulation

Threadneedle fined £6m by FCA for fixed income failings

Fund manager allowed to make unauthorised $150m trade

clock 15 December 2015 • 2 min read

Regulation

Gosling's Grouse: Why does the advice industry look to rules to replace values?

Ever since the dotcom crisis at the turn of the century, regulators have struggled with getting the right 'culture' into the industry, writes Lawrence Gosling.

clock 14 December 2015 • 2 min read

Regulation

The threats and opportunities for asset managers over the next five years

Impact of digital technology and price pressures

clock 09 December 2015 • 5 min read

Wealth managers

FCA finds 60% of wealth managers' portfolios close to unsuitable

'Substantial' improvements needed

clock 09 December 2015 • 2 min read

Global

How transparency is reshaping the asset management industry and rebuilding investor relationships

Imagine going to buy bread from a baker who promises to try his best to bake a good loaf, but cannot promise the outcome, nor tell you how much it will cost. Chances are his bakery will not survive long. Yet, the nature of fund management means an investor...

clock 04 December 2015 • 4 min read

Regulation

Fines jump 271% as UK watchdogs get tough on financial crime

Regulators issue further prison sentences

clock 30 November 2015 • 2 min read

Financial services

Barclays fined £72m for financial crime oversight failings

Biggest fine of its type ever issued

clock 26 November 2015 • 1 min read

Asset Managers

European parliament in favour of year-long MiFID II delay

Set for January 2018 introduction

clock 26 November 2015 • 2 min read
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