All Financial Conduct Authority (FCA) articles – Page 7
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News
UK regulator to expand scope and powers [updated]
The Pensions Regulator says it will take a greater interest in more pension schemes as part of its latest corporate strategy
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NewsUK and Australia agree post-Brexit regulatory co-operation
MoUs follow agreements with US and EU regulators as leaders prepare to discuss Article 50 extension
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News
Moody’s: No-deal Brexit ‘manageable’ for EU asset managers
Asset managers’ and regulators’ preparations would minimise impact
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NewsFCA finalises ‘no-deal’ rules as parliament rejects Brexit agreement again
UK regulator publishes final rulebook for EU exit transition and reaffirms information-sharing agreement with SEC
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Goldman Sachs fined £34m for MiFID reporting breaches
Second multi-million penalty levied this month by UK regulator for transaction reporting failures
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News
Regulators set up climate risk monitoring committee
FCA, PRA and 15 financial services companies to meet three times a year to lead the regulatory approach to climate change
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News
UK regulator demands improvement on ‘misleading’ fee disclosure
Asset managers ‘generally do not disclose all associated costs and charges’ and could face further regulatory action
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NewsWatchdog to ‘level playing field’ on costs for DC schemes
FCA launches consultation on how to ensure value for money for defined contribution scheme members
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News
UK regulator rejects MiFID II sector coverage fears
Andrew Bailey says the revised directive could save investors as much as £1bn in the next five years
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News
Investment manager disputes regulatory fine over IPO price fixing
Hargreave Hale is one of two firms to have been fined six-figure sums for misconduct relating to IPOs
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Ex-fund manager fined over IPO misconduct [updated]
Paul Stephany attempted to persuade other managers to lower prices of IPOs, according to the FCA
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News
UK and EU regulators agree on contingencies for ‘no deal’ Brexit
ESMA says agreements will allow UK-based asset managers to continue to run money for EU entities
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NewsBrexit roundup: MPs to explore UK financial services’ post-EU future
Plus: Luxembourg regulator issues fund manager delegation and passporting reminders
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CFA Institute to oversee fiduciary manager performance standard [updated]
Institute is in discussions with US and Dutch providers about extending coverage outside the UK
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Country ReportConsultants satisfied with competition inquiry outcome
Most institutional advisers accept CMA’s recommendations after months of robust debate with regulators
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NewsDemand for tech experts to jump as disruptive technologies take off
Biggest shortage skills in artificial intelligence, blockchain and robotics areas, reports Intertrust
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Country ReportPension funds must tender fiduciary mandates, regulator says
UK pension funds must conduct competitive tender for any fiduciary mandate covering more than 20% of assets
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News
UK set to lose its voice on European financial rules, FCA warns
Withdrawal agreement bars UK regulator from formal input into future EU financial rules
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NewsRegulator warns on liquidity if Brexit deal fails
The UK’s Financial Conduct Authority says liquidity shortfalls could push up costs and make it harder to execute large transactions
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UK roundup: Young workers have ‘false sense of security’ on pensions
Plus: DB to DC transfers rise, Capita agrees recovery plan, and HMRC admits pensions tax errors
