UK watchdog finds small firms fail to manage financial crime risk
Contingent convertible securities issued by bank’s are “riskly, highly complex financial instruments
British bank put clients’ assets at risk, FCA says
British regulator says firms failed to ensure that advice given to customers was suitable
FCA says firms need to do more to ensure that ads for financial products don’t mislead consumers
British regulator aims to help financial firms develop products and services for clients seeking simpler, cheaper advice
FCA to support proposed European reforms to further separate research from dealing commissions
FCA looking to identify areas where competition may be weak or not be working properly
Firms fined $7 million for UK financial promotions failures
The changes affect 1,500 firms that carry out investment business
aHR0cHM6Ly93d3cuaW52ZXN0bWVudGV4ZWN1dGl2ZS5jb20vcG9zdF9jb21wYW55L2ZpbmFuY2lhbC1jb25kdWN0LWF1dGhvcml0eS9wYWdlLzM2Lw(U2NyZWVuSGVpZ2h0)NzIw(U2NyZWVuV2lkdGg)MTI4MA(T0ZTWVNfUmVmZXJyZXI)(dmlzaXRvcktleQ)TEVKMmtGN2w(dmlzaXRLZXk)bko2b1VBc3I){kind=small}