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Regulation

News

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Ex-adviser jailed for five years over fraud

19 December 2014 5:05 pm | By Sam Brodbeck

Alok Dhanda found guilty of 37 counts of fraud.

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Former Arck partner pleads guilty to £50m fraud

19 December 2014 4:09 pm | By Sam Brodbeck

Richard Clay pleads guilty to three fraud charges.

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Advisers say draft MAS reforms don't go far enough

19 December 2014 11:00 am | By Tessa Norman

Advisers say £30m cut to MAS budget would still not provide value for money. 

Comments (2)

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Guernsey cells win £22m legal battle against Arch Financial

19 December 2014 10:29 am | By Tessa Norman

High Court rules fund manager behind Arch cru failed to exercise reasonable skill and care. 

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Opinion

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Nic Cicutti: Quit long-stop moaning and take up OMO fight

18 December 2014

After the FCA’s report into annuities last week, most independent observers believe the regulator has bottled the issue.

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MM leader: Has the RDR been worth £2.6bn?

18 December 2014

Total cost of RDR to financial services firms is estimated at up to £2.6bn by 2017.

Comments (13)

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Robert Reid: Fall guys in Budget guidance tug of war

12 December 2014

As the Treasury makes matters more complex, guidance becomes more difficult to deliver.

Comments (3)

Havard Hughes Peach

Havard Hughes: FCA statutory bodies must come in from the cold

11 December 2014

When the dust has settled on the Davis review’s extraordinary critique of the FCA there will be two clear winners.

Comments (2)

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Danby Bloch: Honest answers to silly questions

9 December 2014

Asking how much clients can afford to lose has no part in a risk-profiling questionnaire  

Comments (2)

Rory Percival Peach

FCA's Rory Percival: Where we are on professionalism

8 December 2014

It is too early in the RDR’s life to measure better quality advice.

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More opinion

Analysis

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Alan Hughes: The lessons to be learned from Sesame 'pay to play' fine

20 November 2014

The lessons to be learned from the regulator’s recent decisions on inducements

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Tony Mudd: Long-term care requires joined-up thinking

20 November 2014

With great responsibility comes the need for collaboration

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FCA: What we are doing to prevent future fund collapses

21 October 2014

Our new cradle-to-grave fund supervision team will help us spot risks earlier.

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Adam Samuel: Don't fall into the products trap

14 October 2014

FSCS levy payers have an interest in ensuring new products come under scrutiny.

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More analysis

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