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Fund managers granted year to sort non-compliance on Value Assessments
By Neasa MacErlean
Online Published Date:
07 July 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Firms consulted on setting diversity numbers for boards and workforces
By NeasaMacErlean
Online Published Date:
08 July 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Lloyds Bank insurance businesses receive biggest FCA fine in two years
By NeasaMacErlean
Online Published Date:
08 July 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
FCA to change PRIIPs regulation by diverging from EU
By Neasa MacErlean
Online Published Date:
20 July 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
FCA ups its activities to tackle poor standards in debt packager firms
By Neasa MacErlean
Online Published Date:
22 July 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
FCA chases £10.7m restitution after Appeal Court win in Avacade case
By Neasa MacErlean
Online Published Date:
12 August 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Jailed illegal money lender loses rights to borrowers’ houses
By Neasa MacErlean
Online Published Date:
12 August 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
FCA’s Regulatory Decisions Committee to pass simpler cases to staff
By Neasa MacErlean
Online Published Date:
13 August 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Upper Tribunal to decide ban on mortgage broker CEO
By Neasa MacErlean
Online Published Date:
13 August 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Diversity statements on gender and ethnic targets for listed companies expected for 2022
By Neasa MacErlean
Online Published Date:
13 August 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
FCA responds to City by liberalising Listing Rules on SPACs
By Neasa MacErlean
Online Published Date:
13 August 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Switch to risk-free rates planned for 21 September in LIBOR cross-currency swaps
By NeasaMacErlean
Online Published Date:
16 August 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Insurance firms warned over possible non-compliance on product manufacture
By Neasa MacErlean
Online Published Date:
25 August 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
EU cross-border distribution of funds – implications for UK managers
New rules to harmonise themarketing and pre-marketing process within the European Union will have animpact on United Kingdom and other non-EU managers that market their funds intothe bloc, reports Leonard Ng.
Online Published Date:
06 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
UK must take leaf from US playbook to counter spoofing
Markedly different trans-Atlanticoutcomes in the fight against spoofing, point to the need for the UnitedKingdom to close a legislative gap, argues Florian Nitschke.
Online Published Date:
07 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Senior management accountability – the regulator’s nemesis
A recent drubbing in front of the Upper Tribunal in the Forsyth case, suggests that the Financial Conduct Authority must examine itself and its own accountability before it can be regarded as a safe enforcement operator. Adam Samuel reviews the “enforcement mayhem” and suggests ways forward.
Online Published Date:
07 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Treasury confirms tightening of financial promotions regime
The Government is creating a new regulatory ‘gateway’ that will bring significant changes to the way authorised firms can approve the financial promotions of unauthorised persons. Charlotte Hill and Daniel Hirschfield explain how the regime will operate.
Online Published Date:
08 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Insurance industry survey finds persisting conduct concerns
A survey of insurance business culture within the London Market suggests that firms still tend to prioritise commercial success over ethical conduct and that homeworking has enhanced the risk of non-financial misconduct. Jeremy Irving outlines the results.
Online Published Date:
08 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Treasury, FCA and crypto-regulation – are consumers too exposed?
Research by the regulator has revealed poor levels of publicunderstanding about cryptoassets, and activity in this area can leave consumersat serious risk of suffering loss. Treasury proposals are a step in the rightdirection, argues Thomas Cattee.
Online Published Date:
08 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021
Banks still not complying with APP fraud Code, finds Lending Standards Board
A second review of banks’ compliance withthe APP fraud Code reveals that most issues found in the first assessment areunresolved, while some new concerns were identified. The objectives of the Codealong with numerous regulatory obligations are being disregarded, comments DenisO’Connor.
Online Published Date:
08 September 2021
Appeared in issue:
Vol 34 No 1 - 07 July 2021