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FCA cautions property funds amid post-Brexit panic
The Financial Conduct Authority issued guidance after a number of funds temporarily suspended trading in their property portfolios and feeder funds. Investors took fright after the United Kingdom’s vote to leave the European Union and assumed..
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
FCA pursues PPI complaint deadline in mid-2019
The Financial Conduct Authority has resolved to move forward with the proposals in its November 2015 consultation regarding payment protection insurance – however it will extend the proposed spring 2018 deadline for complaints over PPI..
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
Payday loans director receives ban decision for lack of integrity
By Neasa MacErlean
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
Half of general insurers lack controls over appointed representatives
By Neasa MacErlean
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
Dark pool users and operators given ‘fit for purpose’ warning
By Neasa MacErlean
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
Sponsor Cenkos Securities fined after client listing abandoned
By Neasa MacErlean
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
Jersey company director fined for insider dealing and improper disclosure
The Financial Conduct Authority has imposed a £59,557 penalty on Gavin Breeze for insider dealing as well as publicly censured him for improper disclosure. A director of several private companies and a non-executive director of an AIM-listed..
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
Investment advisers warned about influence from lead generators
The Financial Conduct Authority has cautioned authorised firms that when they accept business from introducers, they could find themselves responsible for any unsuitable advice that has been provided by the introducer and subject to regulatory..
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
US decision not to prosecute HSBC swayed by UK government and regulator, says report
Timon Molloy, managing editor
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
Towergate intermediary fined over £12 million bank account shortfall
By Neasa MacErlean
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
Open banking tops CMA action list
By Neasa MacErlean
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
Andrew Bailey takes up FCA reins without fanfare
A new chief executive of the Financial Conduct Authority stepped quietly into office on 1 July. Andrew Bailey is also a member of the Financial Policy Committee as well as on the boards of both the FCA and Prudential Regulation Authority. From 1..
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
Three former Barclays traders convicted of rigging LIBOR
By Sara Lewis
Online Published Date:
12 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016
London falling? Alternative jurisdictions vie for contention
Many of the 56,000 firms regulated by the UK’s Financial Conduct Authority will be wondering if they need to change location and main regulator after Brexit. Frankfurt and Paris are among the leading alternatives for the large players, and Malta is an interesting option for smaller entities. Neasa MacErlean provides a short guide.
Online Published Date:
16 August 2016
Appeared in issue:
Vol 29 No 1 - 01 September 2016