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FCA fines Santander £33m and traces probate problems back to 1980
By Neasa MacErlean
Online Published Date:
03 January 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Regulation of FinTech – where we are and where we’re going (video)
As we approach Brexit, it’s more important than ever that the multi-billion pound FinTech industry continues to flourish – but also that consumer and financial stability protections remain robust. Esther Martin discusses the regulatory picture with Gowling WLG partner Ian Mason.
Online Published Date:
18 January 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Watchdog warns firms on misleading adverts
The Financial Conduct Authority has published a Dear CEO Letter [1] on its website to warn against promotions that imply all of a firm’s activities are regulated when they are not.Jonathan Davidson, who is executive director of supervision – retail..
Online Published Date:
18 January 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
EEA firms granted five years run-off for UK customer contracts
By Neasa MacErlean
Online Published Date:
21 January 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Price controls on the agenda as CMA launches ‘loyalty penalty’ reforms
By Neasa MacErlean
Online Published Date:
21 January 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
New FCA rules allow Gibraltar firms UK access-as-usual until 2020
By Neasa MacErlean
Online Published Date:
21 January 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Pensions freedom rules extended — but FCA refrains from charges cap
By Neasa MacErlean
Online Published Date:
29 January 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Data to be published on general insurance products by firm
By Neasa MacErlean
Online Published Date:
31 January 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Extra fees for unarranged overdrafts to be banned
By Neasa MacErlean
Online Published Date:
01 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
FCA and European regulators strike no-deal Brexit agreements
The Financial Conduct Authority, ESMA and EEA National Competent Authorities have pledged Memoranda of Understanding to ease the potential disorder of a no-deal Brexit.If the United Kingdom leaves the European Union without a withdrawal agreement..
Online Published Date:
01 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Post-Brexit data sharing with EU regulators is key for FCA policing market abuse
The Memoranda of Understanding on exchange of information that have been forged between UK and European regulators are a crucial plank in the ongoing endeavour for clean markets, comments Jill Lorimer.
Online Published Date:
01 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
The data-driven future of regulation
Digital Regulatory Reporting is poised to effect revolutionary change to the process of regulation as well as the compliance role in coming years, reports Neasa MacErlean.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
CFDs revisited – already!
Late last year the Financial Conduct Authority revisited the temporary measures against binary options and contracts for difference, in order permanently to ban sales of the former to retail investors as well as impose restrictions on sales of CFDs. But who is the target market for these products anyway? asks Adam Samuel.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Data protection in a post-Brexit world
As ‘deal or no deal’ talks continue and UK companies prepare for Brexit, data protection is a crucial issue that is not getting the attention it deserves, says Alex Scheinman.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Jury still out on FCA’s revised enforcement approach
Public enforcement outcomes have subsided at the regulator in recent years, and 2018 was no exception. Yet there were more investigations opened and closed without further action by the Financial Conduct Authority than ever. Alison McHaffie and Jonathan Monks analyse the current approach and consider the extent to which it is delivering on its objectives.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019
Robo-advice – still problematic
Though the use of robotic components within the delivery of financial services is developing apace, automation has yet to be proven effective in the provision of full financial advice. Adam Samuel provides an update.
Online Published Date:
05 February 2019
Appeared in issue:
Vol 31 No 05 - 01 February 2019