Financial Conduct Authority – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 15 Nov 2024 18:30:32 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial Conduct Authority – Investment Executive https://www.investmentexecutive.com 32 32 FCA seeks redress system reform https://www.investmentexecutive.com/news/from-the-regulators/fca-seeks-redress-system-reform/ Fri, 15 Nov 2024 18:30:32 +0000 https://www.investmentexecutive.com/?p=496820 Regulators aim to improve handling of systemic issues

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]]> U.K. to regulate ESG ratings providers https://www.investmentexecutive.com/news/from-the-regulators/u-k-to-regulate-esg-ratings-providers/ Fri, 15 Nov 2024 18:24:26 +0000 https://www.investmentexecutive.com/?p=496815 Government aims to instil confidence in ratings, drive growth, and deter greenwashing

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]]> The perils of automating anti-money laundering controls https://www.investmentexecutive.com/news/from-the-regulators/the-perils-of-automating-anti-money-laundering-controls/ Tue, 12 Nov 2024 17:54:02 +0000 https://www.investmentexecutive.com/?p=496545 U.K.'s FCA fines bank over faulty automated transaction surveillance system

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]]> FCA to revise its approach to enforcement disclosure https://www.investmentexecutive.com/news/from-the-regulators/fca/ Mon, 11 Nov 2024 21:43:19 +0000 https://www.investmentexecutive.com/?p=496470 Regulator commits to reform after judicial rebuke

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]]> FCA expands research unbundling to fund managers https://www.investmentexecutive.com/news/from-the-regulators/fca-expands-research-unbundling-to-fund-managers/ Tue, 05 Nov 2024 17:27:40 +0000 https://www.investmentexecutive.com/?p=496038 U.K. regulator aims to improve access to research, market transparency

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]]> Why a rise in reported bullying at U.K. banks may be positive https://www.investmentexecutive.com/news/from-the-regulators/why-a-rise-in-reported-bullying-at-u-k-banks-may-be-positive/ Fri, 25 Oct 2024 19:01:58 +0000 https://www.investmentexecutive.com/?p=495509 FCA review finds an increase in workplace complaints

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]]> FCA targets illegal finfluencer activity https://www.investmentexecutive.com/news/from-the-regulators/fca-targets-illegal-finfluencer-activity/ Tue, 22 Oct 2024 20:18:46 +0000 https://www.investmentexecutive.com/?p=495264 U.K. regulator conducting criminal inquiries, issuing investor alerts

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]]> FCA sanctions U.K. bank over fair treatment failings https://www.investmentexecutive.com/news/from-the-regulators/fca-sanctions-u-k-bank-over-fair-treatment-failings/ Thu, 10 Oct 2024 17:34:07 +0000 https://www.investmentexecutive.com/?p=494439 Bank failed in its dealings with customers facing financial distress

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]]> FCA sanctions U.K. bank for weak anti-crime controls https://www.investmentexecutive.com/news/from-the-regulators/fca-sanctions-u-k-bank-for-weak-anti-crime-controls/ Wed, 02 Oct 2024 16:38:55 +0000 https://www.investmentexecutive.com/?p=493803 Challenger bank kept adding risky clients after review

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]]> LIBOR finally put to rest https://www.investmentexecutive.com/news/from-the-regulators/libor-finally-put-to-rest/ Tue, 01 Oct 2024 18:04:24 +0000 https://www.investmentexecutive.com/?p=493716 Synthetic settings cease, marking last step in major benchmark reform

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