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
Venture Capital and Social Entrepreneurship Funds: Update
Regulations published concerning use of EuVECA and EuSEF designations
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: 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