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Two former directors of Pritchard Stockbrokers fined and banned for recklessly failing to protect client money
The Financial Conduct Authority (FCA) has fined and banned David Gillespie, Managing Director, and David Welsby, Finance Director, of stockbroking and wealth management firm, Pritchard Stockbrokers Limited (Pritchard) for serious failings in -
Information on how Consumer Credit Act 1974 s.75 applies to travel services payments – September 2021
FCA provides information on how Consumer Credit Act 1974 s.75 applies to travel services payments made via travel agents. -
Fair, transparent and competitive: the FCA’s vision for the asset management sector
Speech by Clive Adamson, FCA Director of Supervision, at the FCA Asset Management Conference, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FG14/6 - Annuity comparison websites: Financial promotions review and guidance for firms
However, due to the limited scope of our review, in terms of time allocated and available resources, this would not have been possible. -
Retail Distribution Review six months in – how firms are implementing the RDR
The Financial Conduct Authority (FCA) has published an early review of how advisory firms have implemented some of the core aspects of the Retail Distribution Review (RDR) months after its implementation. -
FCA bans and fines Paul Reynolds £290,344 for misleading and unsuitable advice
Between 2005 and 2010, while he was an approved person at Aspire Personal Finance Limited, Mr Reynolds recommended a number of complex and high risk products to his clients, many of ... Aspire Personal Finance Limited was previously known as Positive -
Consumers with cash savings need better information and easier switching says FCA
Consumers receive little information about alternative products and often assume switching accounts will take a lot of effort for limited benefit. -
Arbuthnot Securities/Arbuthnot Latham Private Bank (clone of FCA authorised firm)
Arbuthnot Securities/Arbuthnot Latham Private Bank (clone of FCA authorised firm) is not authorised or registered by the FCA but has been targeting people in the UK, claiming to be an authorised firm. Find out why you should be wary of dealing with -
FCA data shows increase in complaints with more than 4 million complaints during the first half of 2018
The Financial Conduct Authority (FCA) has today published the complaints figures for regulated firms for the first half of 2018. -
PS22/8: Protecting investors in authorised funds following the Russian invasion of Ukraine
We respond to feedback to CP22/8. We also set out final rules and guidance which allow authorised fund managers to create separate unit classes (side pockets) for retail investment funds affected by the invasion of Ukraine.