Financial Conduct Authority – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 23 Apr 2024 16:54:40 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial Conduct Authority – Investment Executive https://www.investmentexecutive.com 32 32 FCA escalates greenwashing fight https://www.investmentexecutive.com/news/from-the-regulators/fca-escalates-greenwashing-fight/ Tue, 23 Apr 2024 16:54:40 +0000 https://www.investmentexecutive.com/?p=484586 Regulator seeks to extend regime to portfolio managers

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]]> FCA to revive research bundling https://www.investmentexecutive.com/news/from-the-regulators/fca-to-revive-research-bundling/ Wed, 10 Apr 2024 19:26:01 +0000 https://www.investmentexecutive.com/?p=483499 Regulator aims to ease asset managers' access to investment research

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]]> U.K. consults on a digital securities sandbox https://www.investmentexecutive.com/news/from-the-regulators/u-k-consults-on-a-digital-securities-sandbox/ Wed, 03 Apr 2024 17:55:49 +0000 https://www.investmentexecutive.com/?p=483100 Consultation paper on test environment for trading, clearing digital assets will be open for feedback until May 29

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]]> FCA warns firms, finfluencers about misleading memes https://www.investmentexecutive.com/news/from-the-regulators/fca-warns-firms-finfluencers-about-misleading-memes/ Tue, 26 Mar 2024 18:46:58 +0000 https://www.investmentexecutive.com/?p=482753 Reels, streams and more must comply with rules against misleading ads, regulator says

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]]> FCA finds fault in firms’ retirement advice https://www.investmentexecutive.com/news/from-the-regulators/fca-finds-fault-in-firms-retirement-advice/ Wed, 20 Mar 2024 19:22:10 +0000 https://www.investmentexecutive.com/?p=482408 Regulator details results of review, calls for action from firms

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]]> FCA flags anti-money laundering failures https://www.investmentexecutive.com/news/from-the-regulators/fca-flags-anti-money-laundering-failures/ Tue, 05 Mar 2024 18:55:44 +0000 https://www.investmentexecutive.com/?p=481592 Regulator outlines array of weaknesses in firms' anti-crime controls

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]]> FCA finds failings in wholesale data markets https://www.investmentexecutive.com/news/from-the-regulators/fca-finds-failings-in-wholesale-data-markets/ Thu, 29 Feb 2024 21:35:36 +0000 https://www.investmentexecutive.com/?p=481332 Regulator reluctant to intervene despite competition concerns

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]]> FCA promises faster, more transparent enforcement https://www.investmentexecutive.com/news/from-the-regulators/fca-promises-faster-more-transparent-enforcement/ Tue, 27 Feb 2024 20:47:37 +0000 https://www.investmentexecutive.com/?p=481183 U.K. regulator seeks to enhance deterrence, investor confidence

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]]> Ex-Goldman analyst convicted for U.K. insider trading https://www.investmentexecutive.com/news/from-the-regulators/ex-goldman-analyst-convicted-for-u-k-insider-trading/ Thu, 15 Feb 2024 20:12:00 +0000 https://www.investmentexecutive.com/?p=480616 FCA alleged analyst traded on information about pending merger deals

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]]> FCA revs up its anti-hype machine https://www.investmentexecutive.com/news/from-the-regulators/fca-revs-up-its-anti-hype-machine/ Wed, 14 Feb 2024 18:46:15 +0000 https://www.investmentexecutive.com/?p=480511 Regulator reports rise in scam alerts, misleading promos

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