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  • Trending
  • IW 11 Jan issue
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  • IW Select: 26 Jan

regulation

Market access: All eyes turn to equivalence question as Brexit deal is completed
Market access: All eyes turn to equivalence question as Brexit deal is completed

Managers plea for clarity over passporting rights

  • UK
  • 12 January 2021
FCA orders Blue Gate to pay over £200,000 in compensation to Connaught investors
FCA orders Blue Gate to pay over £200,000 in compensation to Connaught investors

Blue Gate breached two of FCA's Principles for Business

  • Regulation
  • 18 December 2020
FCA execs face pressure to hand back £90k bonuses after LCF and Connaught reviews - reports
FCA execs face pressure to hand back £90k bonuses after LCF and Connaught reviews - reports

Megan Butler and Jonathan Davidson under pressure

  • Regulation
  • 18 December 2020
'We are profoundly sorry': FCA vows to change after damning LCF and Connaught reports
'We are profoundly sorry': FCA vows to change after damning LCF and Connaught reports

Independent reviews published today

  • Regulation
  • 17 December 2020
FCA warns crypto consumers as temporary registration regime established
FCA warns crypto consumers as temporary registration regime established

Unregistered UK cryptoasset firms may cease trading

  • Regulation
  • 16 December 2020
FCA slaps 'reckless' former hedge fund CIO with ban and £100k fine
FCA slaps 'reckless' former hedge fund CIO with ban and £100k fine

Ex-Fenician Capital Management CIO punished

  • Regulation
  • 15 December 2020
FCA fines financial planning firm £107k for unsuitable pension transfer advice
FCA fines financial planning firm £107k for unsuitable pension transfer advice

£2.6m in redress paid

  • Regulation
  • 10 December 2020
From 'speculative bubble' to 'strengthening brand': Waverton performs volte-face on Bitcoin
From 'speculative bubble' to 'strengthening brand': Waverton performs volte-face on Bitcoin

U-turn follows cryptocurrency market development

  • Commodities
  • 09 December 2020
Creating a better life for our planet: Why Attenborough's crusade is also an investment issue
Creating a better life for our planet: Why Attenborough's crusade is also an investment issue

Investors need to get serious on biodiversity

  • ESG
  • 07 December 2020
Regulation Blog: Asset managers halve analyst meeting spend amid Covid-19 crisis
Regulation Blog: Asset managers halve analyst meeting spend amid Covid-19 crisis

MiFID II, SMCR and beyond

  • Regulation
  • 30 November 2020
Change or be left behind: Four ways to manage financial regulation in the age of uncertainty
Change or be left behind: Four ways to manage financial regulation in the age of uncertainty

Avoiding the impact of Brexit

  • Investment
  • 16 November 2020
Tom Ellis: MPs give us hope for FSCS levy progress but the FCA whisks it away
Tom Ellis: MPs give us hope for FSCS levy progress but the FCA whisks it away

Nikhil Rathi grilled by MPs

  • Industry
  • 06 November 2020
A question of antitrust: Make jurisprudence great again
A question of antitrust: Make jurisprudence great again

Is it time up for the tech giants?

  • Investment Trusts
  • 28 October 2020
Goldman Sachs fined by FCA and PRA over 1MDB in $2.9bn global resolution
Goldman Sachs fined by FCA and PRA over 1MDB in $2.9bn global resolution

Firm to clawback $174m from executives

  • Regulation
  • 23 October 2020
Is the grass always greener? The legalities of investing in cannabis for UK investors
Is the grass always greener? The legalities of investing in cannabis for UK investors

Assessing the legal ramifications

  • Alternatives
  • 19 October 2020
FCA fines investment house over Premier Oil short disclosure
FCA fines investment house over Premier Oil short disclosure

Fined £873,118 for failing to disclose position

  • Regulation
  • 14 October 2020
AJ Bell chief warns FCA about dangers of investment pathways reforms
AJ Bell chief warns FCA about dangers of investment pathways reforms

Could lead to claims from 'ambulance-chasing lawyers'

  • Regulation
  • 13 October 2020
Transparency Task Force publishes FCA 'wish list'
Transparency Task Force publishes FCA 'wish list'

TTF wants greater consumer protection

  • Regulation
  • 13 October 2020
FCA bans sale of crypto-derivatives to retail investors
FCA bans sale of crypto-derivatives to retail investors

Ban to save consumers £53m per year

  • Regulation
  • 06 October 2020
FOMO and 'greenwashing': The unsustainable cost of ESG
FOMO and 'greenwashing': The unsustainable cost of ESG

How not to launch sustainable solutions unprepared

  • ESG
  • 02 October 2020
FCA interim chief executive Woolard to exit
FCA interim chief executive Woolard to exit

Steps down from board on 1 October

  • Regulation
  • 16 September 2020
FCA asks for views on consumer investment market in wide-ranging call for input
FCA asks for views on consumer investment market in wide-ranging call for input

Will shape future regulatory work

  • Regulation
  • 15 September 2020
FCA to 'haul senior managers over the coals' amid mounting cash reserves
FCA to 'haul senior managers over the coals' amid mounting cash reserves

Tightening of profit-making rules

  • Regulation
  • 10 September 2020
Update: FCA to end temporarily postponed deadlines for fund reports and accounts
Update: FCA to end temporarily postponed deadlines for fund reports and accounts

Deadlines had been extended due to Covid-19

  • Regulation
  • 09 September 2020
123

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Martin Gilbert takes £3m stake in London-listed investment firm
Martin Gilbert takes £3m stake in London-listed investment firm
Adviser launches petition to stop UK cryptocurrency transactions
Adviser launches petition to stop UK cryptocurrency transactions
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Capital Group adds to UK office with Schroders and Janus Henderson hires
The Big Question: What is your top fund pick for 2021?
The Big Question: What is your top fund pick for 2021?
Stifel poses key questions around Hipgnosis' future capital growth prospects
Stifel poses key questions around Hipgnosis' future capital growth prospects
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