Tag Archives: FCA

Martin Wheatley Interview: The Future of Regulation

Martin Wheatley interview

Willis and the Chartered Institute for Securities & Investment (CISI) welcomed Martin Wheatley, CEO of the Financial Conduct Authority to a full house in the Willis Auditorium in London for a discussion on Thursday November 20th. Continue reading →

5 Ways to Strengthen the FCA, PRA and Insurance Industry Relationship

teammates

Today, the insurance industry’s relationship with the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) is strong. Looking to the future, there are five ways to further strengthen our relationship to ensure that together we respond positively to the … Continue reading →

5 Tips to Prepare for the Senior Managers Regime

senior management regime

On 23 October the Treasury Committee published its report, Project Verde, in which it was highly critical of the current Approved Person’s Regime. Continue reading →

FCA and the Fair Use of Client Dealing Commission – More Than “a Little Local Difficulty”?

FCA

The Financial Conduct Authority (FCA) has just published a discussion paper on the use of dealing commissions.  The paper is the result of supervisory activity in the asset management sector, as well as other regulatory engagement with stakeholders. The FCA … Continue reading →

White Collar Crime: Battle Lines Are Drawn

Tug of War

According to a report in The Times on Thursday 22nd May 2014, the number of senior prosecutors recruited by U.S. law firms in London has moved into double figures in the last three years. It seems there is no shortage … Continue reading →

Invesco Final Notice

penalty card

The UK financial services regulator, the Financial Conduct Authority (“FCA”) recently imposed a penalty upon Invesco Asset Management and Invesco Fund Managers of £18.6m for failings in fund management. Continue reading →