Related topic: FCA

Oliver Blower, CEO of VoxSmart, says that under the FCA's new non-financial misconduct rules, serious misconduct can now become a regulatory issue as well as an HR one - but how can...

77% of advisers are only generally aware, or not aware at all, of technology that can automatically evidence Consumer Duty compliance.

Thomas earned more than £173,000 in fees for providing unauthorised advice.

The changes aim to ensure mutuals can access the same tailored regulatory support as other growing firms.

Gemma McCall, co-founder and CEO of Culture Shift, argues that by the time someone makes a formal report, it's often already too late - the real value is in using reporting data to...

The scheme helped clients bypass UK visa rules.

The Financial Conduct Authority has banned former SVS Securities CEO Demetrios Hadjigeorgiou from holding senior management positions in financial services and fined him...

The High Court found that the individual lied repeatedly in an attempt to avoid disqualification. 

Taylor falsified documents claiming to be the owner of a bond portfolio worth approximately €200m.

Mark Wood, chairman of Everest Funeral Concierge UK, explores the FCA’s review into how investment platforms, advisers and wealth managers support bereaved customers and why its...