There are 19 item(s) tagged with the keyword "FCA".

Displaying: 1 - 10 of 19

1. Importance of regulator's 'Dear CEO' letters should 'not be underestimated'

Ken Davy, Chairman of The SimplyBiz Group and industry veteran of over 40 years, has spoken about what he describes as a ‘double-barrelled shot across the bows’ from the regulator. 

Tags: Ken Davy, FCA
2. FCA opens 2020 with 'Dear CEO' letter

Ken Davy discusses the regulator’s latest communication and hopes that it will see more protection for both consumers and advisers. 

Tags: Ken Davy, FCA
3. EU rule could cause trouble for IFAs

Sadly, we are now at the end of the summer holidays, so it is time to brush off the sand and pack away the sun cream.

Tags: FCA, Ken Davy, GDPR
By Ken Davy
4. Revised managers' regime will uncover 'reckless and criminal' firms

The Financial Conduct Authority’s extension of the senior managers’ regime will help weed out “reckless and criminal firms”, financial adviser support firm SimplyBiz Group says.

Tags: FCA
5. Liz Coyle: Liberté! Fraternité! FCA!

Brexit means an awful lot is up in the air but, says Liz Coyle, it is worth summarising what we do know will be happening to UK financial services regulation over the next few years as a result of changes to EU legislation

Tags: FCA
6. "Times change, but savings advice is still needed"

One of the most notable years for me was 1963. Jennifer and I had just bought our first house for the princely sum of £1,400, which back then seemed an awful lot of money.

Tags: Ken Davy, FSCS, FCA
7. The new HMRC Trust Registration Service - what advisers need to know

The new HMRC Trust Registration Service - what advisers need to know

Tags: FCA, Compliance, HMRC
8. Update on Equity Release qualification and permission

Towards the close of 2016, the FCA released a Consultation Paper (CP16/24) looking at the possibility of investment and pension firms without mortgage permissions being able to advise on the equity release market provided they had an adviser who passed either a standalone qualification or a top-up to existing pension and investment qualifications.

Tags: FCA, Compliance, Equity Release
9. Aileen Lynch: Changes to FCA debt counselling permissions

On 20 March, the Financial Conduct Authority (FCA) produced a regulatory publication to inform firms that held 'debt counselling' activity they are likely to hold the incorrect limitation, writes Aileen Lynch.

Tags: FCA
10. "Three cheers for FAMR one year on"

Regulator released Financial Advice Market Review recommendations and updates on progress

Tags: Ken Davy, FAMR, FCA, FSCS
By Ken Davy

Displaying: 1 - 10 of 19

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