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Compliance Oversight director banned after lying about approval to give advice
By Neasa MacErlean
Online Published Date:
15 April 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Cypriot firm banned from regulated business after clients stung by £100,000+ CFD losses
By Neasa MacErlean
Online Published Date:
16 April 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Treasury moves ahead on LCF compensation and regulation of minibond issues
By Neasa MacErlean
Online Published Date:
21 April 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Broker censured as FCA proposes fee rise to fund scrutiny of AR arrangements
By Neasa MacErlean
Online Published Date:
21 April 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
FCA consults on setting online tests for high-risk investors as part of reform package
By Neasa MacErlean
Online Published Date:
30 April 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
FCA to run more post-authorisation checks as part of transformation plan
By Neasa MacErlean
Online Published Date:
04 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Firms get to grips with compliance by focusing on failure points, says Enforcement head
By Neasa MacErlean
Online Published Date:
04 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Regulator considers requiring pension providers to offer to book Pension Wise appointments for consumers
By Neasa MacErlean
Online Published Date:
05 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
New frontiers in Risk and Compliance
Technologyis revolutionising the financial sector and in the coming years will furthertransform its operations. How are regulators and compliance professionalskeeping abreast? By David Povey and Janet Adams.
Online Published Date:
06 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Regulators push for greater diversity in financial services staff
Diversity and inclusion are regulatory issues, the Financial Conduct Authority has affirmed, and will be “mainstreamed” into all its processes. Neasa MacErlean explores why diversity is important for financial services firms and what’s coming down the pipeline.
Online Published Date:
06 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Adams v Options UK – the Court of Appeal reaches the right answer
Overturning a High Court decision, theappellate court has ruled for a victim of ‘pensionliberation’ who invested in (now probably worthless) storage facility leasesheld within a SIPP. The case turned around whether the SIPP contract was madedue to regulated activity by an unauthorised third party, reports Adam Samuel.
Online Published Date:
06 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Financial Services Act tackles plethora of hot topics
Both core elements of the UnitedKingdom’s post-Brexit framework as well as some more political areas of concernare addressed in this wide-ranging piece of legislation. Emma Radmoreand Lucy Hadrill discuss debates and changes from the Bill asoriginally published.
Online Published Date:
06 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Accounting for the LIBOR transition
One of the many components of the LIBOR transition is the assessment of contracts, which could require modification or renewal. If so, the potential impact on financial reporting needs to be considered, explains Marcus Morton.
Online Published Date:
06 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Efficacy of staff surveys for measuring culture questioned
New research published by the Bank of England finds that surveys used by firms to assess their culture are unreliable, as well as that banking culture has not improved overall in recent years. An alternative methodology for gauging culture is suggested, reports Denis O’Connor.
Online Published Date:
06 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
Fintech review calls for coordinated strategy
The Kalifa Review of the UK’s fintech industry identifies priority areas of focus and proposes a new Digital Economy Taskforce to deliver the approach. Charlotte Hill andKatie Fry-Paulreport on policy and regulation aspects.
Online Published Date:
06 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021
FCA fines broker as investigations develop into cum-ex trading schemes
By Neasa MacErlean
Online Published Date:
06 May 2021
Appeared in issue:
Vol 33 No 8 - 15 April 2021