Undercover sting leads to charges
The changes will significantly reduce sales volumes and margins in the UK individual annuity market
Deputy governor says the changes are intended to bolster governance
Guidance stresses that titles that convey expertise in seniors’ issues or retirement planning should face particular scrutiny
U.S. court orders Patrick Cole and Global Strategic Marketing to pay disgorgement and penalties
Senior compliance staff from fund dealers invited to serve on policy advisory committee
Fraud remains the biggest source of cases against individuals
Exemptions intended to help firms raise capital, while protecting investors
FCA publishes examples of good and bad practices to help firms and advisors meet independence requirements