The number of client reviews undertaken within the Dynamic Planner back-office platform have increased by 69% over the past two years due to Consumer Duty.

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The Financial Conduct Authority has fined Barclays Bank UK PLC and Barclays Bank PLC a total of £42m for major failings in their financial crime risk management including one relating to collapsed wealth manager WealthTek and one relating to Stunt & Co. 

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The Financial Conduct Authority it to review its client categorisation rules to ‘unlock more opportunities for wealthy investors’.

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More than 7 in 10 financial advisers (71%) believe it is getting harder for smaller independent financial advice firms to survive, according to a new survey.

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Two thirds (65%) of complaints made by whistleblowers to the FCA last financial year included allegations related to compliance.

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Some financial advice firms are not adequately collecting and recording client information when offering retirement income advice, according to the FCA.

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The FCA has issued a public apology for delays in its investigation into peer-to-peer lending firm FundingSecure, its second apology issued in two weeks.

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The FCA has this week stripped permission to carry out regulated business from a London Docklands-based financial adviser called Wise Decisions Ltd (FRN 832056).

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The FCA has publicly apologised to clients of two failed mini-bond firms for the way it dealt with their complaints about the firms and will pay compensation.

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The FCA is to consolidate its complaints returns in a move which it claims will ease unnecessary red tape burdens on firms.

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