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This blog comments on key developments as they occur, legal and regulatory issues as they arise, and ones that are relevant to every financial services specialist.

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Privilege: A welcome respite from ENRC?

Topic: Financial Services Regulatory and Risk 05.02.2018 Read more
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ESMA to use new powers to attack the sale of CFDs and binary bets to retail investors

Topic: Financial Services Regulatory and Risk 25.01.2018 Read more
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FOS consultation on SME access to Ombudsman service

Topic: Financial Services Regulatory and Risk 23.01.2018 Read more
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The FCA pledges to take action against providers of contracts for difference

Topic: Financial Services Regulatory and Risk 12.01.2018 Read more
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Thoughts on the FCA's fund fee transparency proposals

Topic: Financial Services Regulatory and Risk 11.01.2018 Read more
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FCA revisits FSCS funding proposals, and abandons plans for significant changes to professional indemnity insurance requirements

Topic: Financial Services Regulatory and Risk 01.11.2017 Read more
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FCA allows confidential report to be scrutinised by Treasury Select Committee

Topic: Financial Services Regulatory and Risk 31.10.2017 Read more
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The FCA makes clear its expectations of financial advisers

Topic: Financial Services Regulatory and Risk

Published by Charlotte Thompson, Associate

FCA, regulatory, financial services

18.10.2017 Read more
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Are there dark clouds on the horizon for SIPP providers?

Topic: Financial Services Regulatory and Risk 17.10.2017 Read more
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FCA criticised by Complaints Commissioner for its handling of enforcement limitation issues

Topic: Financial Services Regulatory and Risk

Published by Lucy Kerr, Associate

The Office of the Complaints Commissioner recently upheld two complaints against the FCA for making a "serious mistake" in its management of limitation issues for two connected investigations. The Commissioner criticised the FCA not only for its mismanagement of the limitation issue, but also for the unnecessary delays in concluding its own internal investigation into these complaints.

04.10.2017 Read more