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Risk Management Industry News for FCA Regulated Businesses

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FCA, Financial Services, Financial Crime

FCA warnings of company cloning signals an epidemic

What do Smith & Williamson, Fidelity and Rothschild have in common? Apart from all being well known within financial services as investment providers, the answer is all three were recently cloned.

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FCA, Regulation

Vulnerable customers are centre stage as FCA launches consultation

The Financial Conduct Authority has issued potential guidelines and a consultation on one of its highest priorities – the recognition and fair treatment of so-called vulnerable customers.

The regulator is requesting industry feedback to some suggested...

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FCA, Regulation

FCA on the warpath as value of fines rises threefold

Anyone who believes the Financial Conduct Authority was treading water in terms of its approach to enforcement should think again. The regulator has issued some swingeing penalties and in the last six months to the end of June, some 10 fines had a...

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FCA, Regulation, Financial Crime

Regulators toughen up when punishing the rate riggers

Memories of the financial crisis have yet to fade and it is clear today’s regulators are taking a more robust approach than they used to. Their resolve can be seen most apparent in the high-profile cases resulting in jail fines and other sanctions,...

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FCA, Financial Services

How London Capital & Finance misled investors

The recent collapse of London Capital & Finance (LCF) acts as a sharp reminder that, where investments are concerned, there needs to be absolute clarity as to the nature of what is being sold as well as who the provider is.

Of course, the fact the ...

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FCA, Regulation, Brexit

The FCA’s business plan – learning from its key messages

Last month, the FCA produced its business plan for 2019-20, setting out key priorities and activities for the year ahead. There were plenty of nuggets to help firms  improve their risk profiles as well as a raft of insight into regulatory strategy.

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