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FCA review shows too many advisory firms are not yet clear enough with their customers on their charges and services
If, at that point, firms are not complying with the rules on disclosure, the FCA has said it will consider further regulatory action, including referrals to enforcement. ... However, it is likely two firms with egregious failings uncovered in the second -
Leadership and conduct
Speech by Martin Wheatley, Chief Executive, the FCA, at City Week 2014: International Financial Services in the Post-Reform World: Opportunities and Challenges. This is the text of the speech as drafted, which may differ from the delivered version. -
Financial Conduct Authority to investigate how firms deal with risk benchmark manipulation
Using our new power we want to tackle harm to consumers who are most at risk and our work will focus on protecting vulnerable consumers.’. ... continuing the FCA’s credible deterrence agenda and continue to cooperate with other regulators to pursue -
Making competition king – the rise of behavioural economics at the FCA
Speech by Martin Wheatley, Chief Executive, the FCA, at the Australian Securities and Investments Commission (ASIC). This is the text of the speech as drafted, which may differ from the delivered version. -
Guide to the regulation of workplace defined contribution pensions
We have jointly developed this guide with The Pensions Regulator to provide an overview of how workplace defined contribution (DC) pensions are regulated to protect the interests of consumers. -
FCA winds up a boiler room
FCW was promising guaranteed returns that, in our experience, are simply not achievable. ... If you are called out of the blue by someone seeking to sell you shares our advice is to put the phone down.”. -
A sustainable conduct environment
Speech by Clive Adamson, Director of Supervision, the FCA, at the Association of Professional Compliance Consultants’ annual conference. This is the text of the speech as drafted, which may differ from the delivered version. -
Promoting competition in the financial services sector
Christopher Woolard, Director of Policy, Risk and Research, the FCA, at the Future of Financial Services summit, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA confirms tough new rules for £200bn consumer credit market
Our new rules will help us to protect consumers and give us strong new powers to tackle any firm found to be overstepping the line.”. ... Dedicated supervision and enforcement teams will crack down on poor practice, money laundering and unauthorised -
The Financial Conduct Authority fines FXCM UK £4 million for making ‘unfair profits’ and not being open with the FCA
David Lawton, the FCA's director of markets, said:. “When consumers lose out because of poor conduct it undermines confidence in the integrity of our markets. ... Once the FCA has recovered the costs related to enforcement cases, the balance is passed