All Financial Conduct Authority articles – Page 5
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News
UK regulator seeks to stem flow of exits from DB schemes
Financial Conduct Authority says too much financial advice related to transfers is ‘still not of an acceptable standard’
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FCA to revisit UK illiquid asset rules after high-profile fund suspension
Trading in shares of the £4.3bn LF Woodford Equity Income fund was suspended last week following a wave of investor redemption requests
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UK and Dutch regulators to increase co-operation ahead of Brexit
The agreement between the FCA and AFM is to apply in both a deal and no-deal Brexit scenario
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UK regulator adopts rules to boost stewardship transparency
New rules to implement revised Shareholder Rights Directive push asset managers to disclose engagement policy and explain contribution to long-term value
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FCA urged to investigate fund manager voting policy ‘market failure’ [updated]
Pensions minister tells ‘obstructive’ fund managers to shape up on corporate governance after trustee association files official complaint with UK regulator
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NewsManagers urged to comply with new cost disclosure templates
Minister warns government could legislate to enforce new transparency codes if managers fail to adopt the templates voluntarily
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FCA chief outlines post-Brexit 'same outcome, lower burden' vision
Exact outcome would depend on process of equivalence
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NewsUK and Australia agree post-Brexit regulatory co-operation
MoUs follow agreements with US and EU regulators as leaders prepare to discuss Article 50 extension
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NewsFCA finalises ‘no-deal’ rules as parliament rejects Brexit agreement again
UK regulator publishes final rulebook for EU exit transition and reaffirms information-sharing agreement with SEC
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Goldman Sachs fined £34m for MiFID reporting breaches
Second multi-million penalty levied this month by UK regulator for transaction reporting failures
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A Brexit checklist for UK pension funds
Hogan Lovells’ Faye Jarvis explores what the UK’s departure from the EU could mean for pension fund trustees
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Regulators set up climate risk monitoring committee
FCA, PRA and 15 financial services companies to meet three times a year to lead the regulatory approach to climate change
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UK regulator demands improvement on ‘misleading’ fee disclosure
Asset managers ‘generally do not disclose all associated costs and charges’ and could face further regulatory action
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NewsWatchdog to ‘level playing field’ on costs for DC schemes
FCA launches consultation on how to ensure value for money for defined contribution scheme members
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UK regulator rejects MiFID II sector coverage fears
Andrew Bailey says the revised directive could save investors as much as £1bn in the next five years
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UK and US agree post-Brexit derivatives clearing pact
Senior figures on both sides of the Atlantic have agreed to extend existing oversight powers to cover the UK when it quits the EU next month
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Asset management roundup: PE managers struggle for ‘skin in the game’
Plus: UK trade body launches guide to Libor replacement, urging fund managers to act early
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Investment manager disputes regulatory fine over IPO price fixing
Hargreave Hale is one of two firms to have been fined six-figure sums for misconduct relating to IPOs
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Ex-fund manager fined over IPO misconduct [updated]
Paul Stephany attempted to persuade other managers to lower prices of IPOs, according to the FCA
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UK and EU regulators agree on contingencies for ‘no deal’ Brexit
ESMA says agreements will allow UK-based asset managers to continue to run money for EU entities
