Financial Conduct Authority – Investment Executive https://uat-phoenix.investmentexecutive.com Canada's news source for financial professionals Thu, 06 Feb 2025 20:04:21 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://uat-phoenix.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial Conduct Authority – Investment Executive https://uat-phoenix.investmentexecutive.com 32 32 FCA to pay investors for complaint delays https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-to-pay-investors-for-complaint-delays/ Thu, 06 Feb 2025 20:04:21 +0000 https://www.investmentexecutive.com/?p=501980 Regulator defends its conduct in 'mini-bond' investigations

The post FCA to pay investors for complaint delays appeared first on Investment Executive.

]]> FCA hits ex-analyst with confiscation order https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-hits-ex-analyst-with-confiscation-order/ Mon, 03 Feb 2025 18:03:12 +0000 https://www.investmentexecutive.com/?p=501567 Former Goldman Sachs analyst traded on confidential M&A information

The post FCA hits ex-analyst with confiscation order appeared first on Investment Executive.

]]> FCA aims to ease retail access to bond markets https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-aims-to-ease-retail-access-to-bond-markets/ Fri, 31 Jan 2025 19:36:03 +0000 https://www.investmentexecutive.com/?p=501486 Reforms designed to encourage smaller deals, retail participation

The post FCA aims to ease retail access to bond markets appeared first on Investment Executive.

]]> Banks settle OTC bond class action https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/banks-settle-otc-bond-class-action/ Fri, 24 Jan 2025 19:13:35 +0000 https://www.investmentexecutive.com/?p=500968 Investor suit sought more than $1 billion, settles for $6.5 million

The post Banks settle OTC bond class action appeared first on Investment Executive.

]]> Capital markets vulnerable to criminals: FCA https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/capital-markets-vulnerable-to-criminals-fca/ Thu, 23 Jan 2025 19:11:12 +0000 https://www.investmentexecutive.com/?p=500852 Firms need to beef up anti-money laundering controls, review finds

The post Capital markets vulnerable to criminals: FCA appeared first on Investment Executive.

]]> Global anti-greenwashing efforts on the rise: ISS https://uat-phoenix.investmentexecutive.com/news/research-and-markets/global-anti-greenwashing-efforts-on-the-rise-iss/ Tue, 21 Jan 2025 19:56:57 +0000 https://www.investmentexecutive.com/?p=500657 Report reveals firm's top ESG trends for investors in 2025

The post Global anti-greenwashing efforts on the rise: ISS appeared first on Investment Executive.

]]> FCA sets out to redesign U.K. retail investment disclosure https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-sets-out-to-redesign-uk-retail-investment-disclosure/ Thu, 19 Dec 2024 19:23:36 +0000 https://www.investmentexecutive.com/?p=498942 Regulators seek more useful, flexible product disclosures

The post FCA sets out to redesign U.K. retail investment disclosure appeared first on Investment Executive.

]]> FCA unveils private stock market plans https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-unveils-private-stock-market-plans/ Tue, 17 Dec 2024 19:34:50 +0000 https://www.investmentexecutive.com/?p=498740 U.K. launches experiment to facilitate private share trading

The post FCA unveils private stock market plans appeared first on Investment Executive.

]]> FCA launches crypto regime consultation https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-launches-crypto-regime-consultation/ Mon, 16 Dec 2024 19:28:16 +0000 https://www.investmentexecutive.com/?p=498631 Regulator issues first in a planned series of discussion papers on crypto rules

The post FCA launches crypto regime consultation appeared first on Investment Executive.

]]> FCA aims to fill the advice gap for mid-market U.K. investors https://uat-phoenix.investmentexecutive.com/news/from-the-regulators/fca-aims-to-fill-the-advice-gap-for-mid-market-u-k-investors/ Thu, 12 Dec 2024 21:06:30 +0000 https://www.investmentexecutive.com/?p=498479 Regulator proposes new "targeted support" model for collective advice

The post FCA aims to fill the advice gap for mid-market U.K. investors appeared first on Investment Executive.

]]>