FCA 'overplaying' failing asset manager threat

FCA 'overplaying' failing asset manager threat...

The failure of a large asset manager and its potential impact on market stability will be one of the key focuses for the FCA this year.  

Published : 18, Apr 2017
FCA sets out adviser fee hike

FCA sets out adviser fee hike

The FCA has proposed a 4.7% hike in fees for advisers and brokers as part of its 2017/18 business plan.

Published : 18, Apr 2017
Morningstar questions FCA's sums in market study critique

Morningstar questions FCA's sums in market study...

Morningstar has hit back at the FCA over its market study critique of fund ratings agencies.

Published : 12, Apr 2017
FSCS cuts levies but wealth managers facing higher bill

FSCS cuts levies but wealth managers facing higher...

The Financial Services Compensation Scheme (FSCS) is raising its investment intermediary levy for the 2017/18 year by £4m in spite of an overall budget cut.

Published : 12, Apr 2017
FCA extends robo-advice work in fintech push

FCA extends robo-advice work in fintech push

The types of firm that can approach the FCA for help developing new robo-advice products has been expanded.

Published : 10, Apr 2017
FCA bans AIM bosses for market abuse

FCA bans AIM bosses for market abuse

The FCA has banned two Alternative Investment Market (AIM) financial controllers for market abuse.

Published : 7, Apr 2017
FCA stops pension transfers from 16 advice firms

FCA stops pension transfers from 16 advice firms...

Sixteen UK firms agreed to stop any activities related to pension transfers in the 12 months to January 2017, the FCA has revealed.

Published : 5, Apr 2017
Wealth managers refused FCA opt out from Mifid 'taping' rule

Wealth managers refused FCA opt out from Mifid...

New rules to force wealth managers to tape telephone calls with clients will not apply to smaller advisory firms, the FCA revealed on Friday.

Published : 31, Mar 2017
FCA fines ex-investment banker over Whatsapp boasts

FCA fines ex-investment banker over Whatsapp boasts...

A former investment banker has been fined more than £37,000 by the FCA after he admitted trying to impress friends by revealing confidential client details in Whatsapp chats.

Published : 30, Mar 2017
Aegon calls for providers to take greater share of FSCS burden

Aegon calls for providers to take greater share...

Financial product providers should shoulder a greater share of the burden of paying for the Financial Services Consumer Scheme (FSCS), according to Aegon.

Published : 28, Mar 2017
IA to consult on hidden charge criticisms

IA to consult on hidden charge criticisms

Asset managers have fired a major shot in their battle to win over sceptical politicians, regulators and clients with the launch of a public consultation on a new costs and charges disclosure scheme.

Published : 27, Mar 2017
BMO: Remuneration tops shareholder agenda

BMO: Remuneration tops shareholder agenda

Remuneration packages will remain a contentious topic in boardrooms around the UK, according to a report from BMO Global Asset Management.

Published : 21, Mar 2017
EC explores new fintech passporting regime

EC explores new fintech passporting regime

The European Commission (EC) is considering new passporting regimes to ensure a level playing field for financial technology companies.

Published : 17, Mar 2017
FCA asset management challenge ‘way bigger’ than RDR

FCA asset management challenge ‘way bigger’ than...

The FCA’s Asset Management Market Survey is akin to a “hangover” for fund groups who will “have to bear the sharp end” of the pressures on fees, according to Nucleus CEO David Ferguson.

Published : 14, Mar 2017
Risk fears as IA loosens UK sector yield target

Risk fears as IA loosens UK sector yield target...

Investors should ‘be wary’ fund managers do not take on riskier stocks after the Investment Association (IA) loosened the yield requirements for funds in the UK Equity Income sector.

Published : 9, Mar 2017
Miller 'naive' to accuse active managers of price collusion

Miller 'naive' to accuse active managers of price...

Claims made by campaigner Gina Miller that the active management industry is ‘anti-competitive’ have been dismissed by a top portfolio manager as both ‘naïve’ and ‘dangerous’.

Published : 6, Mar 2017
FCA consultation on IPO overhaul now open

FCA consultation on IPO overhaul now open

The Financial Conduct Authority (FCA) has launched a consultation paper to tackle the inherent bias it has identified at initial public offerings (IPOs) in the UK equity market.

Published : 1, Mar 2017
CISI pushes for higher standards with new Chartered Body Alliance

CISI pushes for higher standards with new Chartered...

The Chartered Institute for Securities & Investment (CISI) has formed an alliance with two other chartered professional bodies to raise standards of and improve levels of trust in financial services.

Published : 1, Mar 2017
Regulator failings create ‘potential’ for further financial crash

Regulator failings create ‘potential’ for further...

Most financial service executives believe there is potential for a further financial crash despite the actions of regulators to introduce safeguards, according to the latest Duff and Phelps survey.

Published : 27, Feb 2017
AIC: Shunning of investment trusts a ‘market failure’

AIC: Shunning of investment trusts a ‘market failure’...

The Association of Investment Companies (AIC) has urged the FCA to improve competition and tackle a ‘market failure’ in the asset management industry.

Published : 24, Feb 2017

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