All of us at pretty much whatever level have to complete anti-money laundering (AML) training and...
FCA
“FCA fines PwC £15mn for failing to disclose suspected fraud at LCF”
The collapse of London Capital reflects badly on the whole of financial services and particularly...
“FCA to launch protection commissions probe over competition concerns”
How could a review into the evils of commission paid to those who sell life insurance be a bad...
“FCA announces plan to reduce regulatory burden on financial services firms”
Our regulator’s latest initiative is to reduce the amount of regulation. It’s become apparent that...
“The journey towards hyper-personalisation in financial advice”
No, me neither. ‘Hyper Personalisation’ sounds like the financial advice equivalent of, not just a...
“Is the AI hype machine losing steam?”
Many of the reviving rises in stock markets, particularly in the US in the last year or so have...
“FCA plan to publicise investigations sparks industry concerns”
Of course everyone wants to make sure that any financial services companies likely to cause...
“Simon Evan-Cook: FCA must wake up to consolidation damage”
This is where I can don my ‘been around the block, seen it all before’ mantle. What’s happening in...
“FCA is managing out smaller firms it does not trust, industry says”
Are we ‘small firms’ really doomed? Is the regulator plotting our demise by default? The argument...
“AI could help close advice gap, says FCA”
You may have noticed that Artificial Intelligence (not a euphemism for certain politicians ha ha)...
“FCA finds debanking not based on political views but rather customer behaviour”
If you follow these things, you may have noticed N Farage getting all the publicity at the...
“FCA to simplify listing rules in bid to revive UK stock market”
Fewer companies are ‘listing’, choosing to have their shares bought and sold once they’re big...
“‘We have an opportunity to radically rethink our disclosure regime'”
Our mantra of ‘Straightforward Advice’ and ‘Money is only as complicated as we make it’ fall at...
“Advice firms show limited appetite for four-day working week”
I would say that our profession is ideally suited to flexible working. Our business in particular,...
“Top 10 FCA Fines 2022”
Here’s a Top 10 of which no one wants to be a part. Fines handed out by the FCA totalled almost...