The new rules aim to enhance transparency and protection for investors
The rules are part of an overall effort to bolster competition among U.K. investment fund managers
The industry’s culture is a priority for the U.K. regulator given its impact, and the role that it must play in re-building trust in financial services
This is the first enforcement action against a firm for failing to report details of trading in exchange-traded derivatives under the European Markets Infrastructure Regulation
The benefits include reducing the time and cost for firms of getting innovative ideas to market
FCA calls for market review of investment consultancy services
New coalition government between the Conservatives and the DUP of Northern Ireland could result in a “softer” Brexit
The product drew the most complaints and accounted for the majority of redress paid to consumers in the second half of 2016, the FCA reports
A review of trading commission expenditures by U.K. investment managers reveals poor practices are still common in the industry
Regulator warns that registered firms could be on the hook if an unauthorized introducer gives clients unsuitable advice