FCA proposes splitting fee blocks as fee freeze ends
- Wednesday, 22 November 2023
- Articles
![FCA HQ](/media/k2/items/cache/46cda421431a7928620524b2de6422b2_Generic.jpg)
The Financial Conduct Authority has released plans to split its fee-blocks for principal firms.
Read more...Adviser cancelled for failing to submit returns
- Friday, 17 November 2023
- Articles
![FCA logo](/media/k2/items/cache/2927719e1c6e8ca1ef82e535004313cb_Generic.jpg)
Bath-based investment adviser firm Ian Slinger (FRN: 723069) has had its Part 4A permissions to carry out regulated business removed by the FCA due to non submission of required returns.
Read more...FCA secures Restraint Order against WealthTek
- Thursday, 16 November 2023
- Articles
![FCA logo](/media/k2/items/cache/8d6a80ec31482bce048cf6bd03ee38cd_Generic.jpg)
The FCA has secured a Restraint Order under the Proceeds of Crime Act 2002 against collapsed Newcastle-based wealth manager WealthTek as a criminal and regulatory investigation continues.
Read more...Third of advisers adjust fees post Consumer Duty
- Friday, 10 November 2023
- Articles
![The FCA's new Consumer Duty rules came into force in July](/media/k2/items/cache/9843753b8e199abe7e3d153f988a3a7c_Generic.jpg)
More than a third (37%) of financial advice firms have changed their fee structure as a result of completing the FCA’s Consumer Duty fair value exercise.
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