An ex-BlackRock equity portfolio manager has today pleaded guilty to two counts of insider dealing.
Six men have been banned by the FCA after over 100 investors lost just under £4.3 million.
The PFS held talks with FCA chief executive Andrew Bailey to urge the regulator to look at a product levy and a combined PII solution to fund the FSCS.
A new product levy is to be considered as part of the review of the FSCS, the FCA’s chief executive has revealed.
Unregulated firms are in the firing line of the FCA.
A Financial Planner has suggested new FCA rules around taping clients’ calls could undermine trust and might harm the reputation of the Financial Planning.
The FCA is asking Financial Planners, Paraplanners, advisers and other financial services professionals: What is our mission?
Two former finance firm directors whose “dishonesty and false representations” led to consumers losing about £33 million have been completely banned from working in financial services.
The FCA and PRA have been accused of having “a deep seated culture of box-ticking”.
A fund manager has lost his appeal against an FCA ban.
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