Displaying items by tag: regulation
FCA halts trading at wealth manager as arrest made
The FCA has ordered Newcastle-based wealth manager WealthTek Limited Liability Partnership to cease all regulated activities following the discovery of regulatory and operational issues.
Senior Managers’ regime review under way
The UK’s key financial regulators, the FCA, PRA and Treasury have today launched a sweeping review of the Senior Managers and Certification Regime (SM&CR).
FCA exec Delfas becomes new TPR CEO
The Pensions Regulator (TPR) has recruited experienced regulator Nausicaa Delfas to be its new chief executive.
FCA to step up financial promotion checks
The FCA is to impose additional checks on firms approving financial promotions.
Moret: Did shifting SIPP regulation sink Rowanmoor?
The demise of Rowanmoor Personal Pensions this week comes as no surprise.
FCA issues warnings over 2 unauthorised advice firms
The Financial Conduct Authority (FCA) has issued warnings over two firms offering financial advice without its authorisation.
101 advice firms in scope of FCA BSPS asset retention rules
New emergency asset retention rules from the Financial Conduct Authority (FCA) have been applied to 101 firms who provided pension transfer advice for former British Steel Pension Scheme (BSPS) members.
John Moret: SIPP regulation not fit for purpose
SIPP industry veteran John Moret has called on the Treasury to review and rewrite SIPP regulation, saying the current framework is ‘a mess and not fit for purpose’.
FCA under fire over £46m Blackmore collapse failings
The Financial Conduct Authority is facing strong criticism for its handling of the £46m Blackmore Bond collapse which has left a number of investors facing thousands in losses.
Moret: The SIPP fallout as another one bites the dust...
The news of Hartley Pensions appointment of administrators may not have come as a huge surprise given the recent restrictions imposed on them by the FCA but I believe it is of great significance for the world of SIPPs.