FCA Bans Compliance Officer for Life
The FCA has banned Mr Peter Johnson, former compliance officer of Keydata Investment Services Ltd
Robo Advisers Present a New Set of Risks
The advent of automated retail advisers – Robo Advisers opens a new set of compliance challenges and brings issues of suitability back into frame
Making the FCA Application for Consumer Credit Easier
The FCA has launched a series of step-by-step guides aiming to support consumer credit firms in completing their application for full or limited permission using our FCA Connect application system. […]
FCA Restructure and Supervisory Model
FCA structure changes introduced to help embed new strategy
PRIIPs
Key documents for PRIIPs come into force
European Long-Term Investment Funds
Further type of collective scheme proposed following EuVECA and EuSEF
Platform Charges
Final policy statement released meaning platforms will no longer be allowed to be funded by rebates/payments from product providers
Venture Capital and Social Entrepreneurship Funds: Update
Regulations published concerning use of EuVECA and EuSEF designations
Venture Capital and Social Entrepreneurship Funds: European Label
Adoption of EU-wide passport and uniform requirements for such collective investment undertakings
On Track: Retail Distribution Review
New RDR Guide published by FSA