FCA publishes results of non-financial misconduct survey
The FCA has published the results of a survey to better understand how firms record and manage allegations of non-financial misconduct. The survey of over 1,000 investment banks, brokers and…
FCA enhances access to market data and investment research to support growth
The FCA has set out a package of measures to reinforce the UK’s leading position in the bond, derivatives and asset management sectors, supporting growth. New transparency rules for bonds…
FCA welcomes Project Guardian’s first industry report on tokenisation
Project Guardian is an international collaboration of industry and regulators, led by the Monetary Authority of Singapore, that explores the use of fund and asset tokenisation. We welcome the first…
FCA bans Steven Hodgson and Paul Adams for pension transfer advice failings
The FCA has banned Steven Hodgson and Paul Adams of Vintage Investment Services (Vintage) from advising any customers on pension transfers and opt outs. Mr Hodgson and Mr Adams poorly…
FCA and PSR Boards appoint new chair to decision-making committees
The FCA and PSR Boards have appointed Alison Potter as chair of the FCA’s Regulatory Decisions Committee (RDC) and the PSR’s Enforcement Decisions Committee (EDC).These 2 committees are responsible for…
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