There are 17 item(s) tagged with the keyword "FCA".

Displaying: 1 - 10 of 17

1. EU rule could cause trouble for IFAs

Sadly, we are now at the end of the summer holidays, so it is time to brush off the sand and pack away the sun cream.

Tags: FCA, Ken Davy, GDPR
By Ken Davy
2. Revised managers' regime will uncover 'reckless and criminal' firms

The Financial Conduct Authority’s extension of the senior managers’ regime will help weed out “reckless and criminal firms”, financial adviser support firm SimplyBiz Group says.

Tags: FCA
3. Liz Coyle: Liberté! Fraternité! FCA!

Brexit means an awful lot is up in the air but, says Liz Coyle, it is worth summarising what we do know will be happening to UK financial services regulation over the next few years as a result of changes to EU legislation

Tags: FCA
4. "Times change, but savings advice is still needed"

One of the most notable years for me was 1963. Jennifer and I had just bought our first house for the princely sum of £1,400, which back then seemed an awful lot of money.

Tags: Ken Davy, FSCS, FCA
5. The new HMRC Trust Registration Service - what advisers need to know

The new HMRC Trust Registration Service - what advisers need to know

Tags: FCA, Compliance, HMRC
6. Update on Equity Release qualification and permission

Towards the close of 2016, the FCA released a Consultation Paper (CP16/24) looking at the possibility of investment and pension firms without mortgage permissions being able to advise on the equity release market provided they had an adviser who passed either a standalone qualification or a top-up to existing pension and investment qualifications.

Tags: FCA, Compliance, Equity Release
7. Aileen Lynch: Changes to FCA debt counselling permissions

On 20 March, the Financial Conduct Authority (FCA) produced a regulatory publication to inform firms that held 'debt counselling' activity they are likely to hold the incorrect limitation, writes Aileen Lynch.

Tags: FCA
8. "Three cheers for FAMR one year on"

Regulator released Financial Advice Market Review recommendations and updates on progress

Tags: Ken Davy, FAMR, FCA, FSCS
By Ken Davy
9. "Singing loudly over FSCS funding consultation"

In 1959, It’s Now or Never was a massive hit for Elvis Presley, selling more than 5m records and it is no exaggeration to say that it is now or never for you to have your say on how the FSCS is funded.

Tags: Ken Davy, FSCS, FCA
By Ken Davy
10. Smarter Consumer Communications: Removing ineffective disclosure requirements in our Handbook

In October last year, the Financial Conduct Authority (FCA) produced policy statement PS16/23, ‘Smarter Consumer Communications: Removing ineffective disclosure requirements in our Handbook’, which outlined a number of changes it would be making surrounding communications.

Tags: FCA
By Liz Coyle

Displaying: 1 - 10 of 17

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Holistic Solutions Financial Management

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New data rules risk triggering claims industry

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Mark Greenwood, Group Regulatory Policy Manager, acknowledges the new rules in GDPR, but adds some useful context for advisers.

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"30 years on, the principal still carries the can"

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Ken Davy considers the future of networks given recent court rulings on who carries liability for the actions of Appointed Representatives.

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