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Thinking - Blog

FCA revisits FSCS funding proposals, and abandons plans for significant changes to professional indemnity insurance requirements

Published on 01 Nov 2017. By Robert Morris, Partner

The FCA has published a second consultation paper on the thorny subject of FSCS funding. Although not widely reported so far, the new consultation makes it clear that the FCA will not, after all, consult on significant changes to personal investment firms' professional indemnity insurance requirements.

Thinking - Blog

FCA allows confidential report to be scrutinised by Treasury Select Committee

Published on 31 Oct 2017.

The FCA has allowed the Treasury Select Committee to review its s.166 report into RBS' Global Restructuring Group (GRG) and has published an interim summary of the report. It is possible that the threat of publication will play on the minds of firms subject to s.166 reports, which may reduce cooperation with skilled persons and therefore the efficacy of this investigatory power.

Thinking - Blog

The FCA makes clear its expectations of financial advisers

Published on 18 Oct 2017. By Charlotte Thompson, Associate

FCA, regulatory, financial services

Thinking - Blog

FCA criticised by Complaints Commissioner for its handling of enforcement limitation issues

Published on 04 Oct 2017. By Lucy Kerr, Senior 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.

Thinking - Blog

DB Transfers - now what?

Published on 04 Oct 2017. By Rachael Healey, Partner

We know that the FCA is looking closely at defined benefit transfers; we already have the FCA's review of redress methodology and the defined benefit transfer rules. We now have the results of the FCA's review, into defined benefit transfers and it makes for uncomfortable reading for the financial services industry.

Thinking - Blog

MiFID II & Inducements

Published on 21 Sep 2017. By Matthew Watson, Partner

FCA MiFiD Inducements Consultation Paper

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Ellie McCarthy

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Ellie McCarthy

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Zoe Lettieri

Senior Associate

Steven Aitken

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William Hogarth

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Pamela Holmes

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Charlotte Thurlow

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Annabella Chu

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Alexandra Prato

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Melissa Taylor

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Sarah O'Callaghan

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Florence Page

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Amber Slumbers

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Fiona Hahlo

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Andrew Oberholzer

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Sian Morgan

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Genevieve Isherwood

Sarah Dowding

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Alifya Bharmal

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Alice Tittensor

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Sarah Armstrong

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Lucy Kerr

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Ben Goodier

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Ben Gold

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Antony Sassi

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Graham Reid

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Harriet Keltie

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Matthew Watson

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Emma Wherry

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Samuel Hung

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Emma Kislingbury

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Lauren Murphy

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Matthew Griffith

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Natalie Drew

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Hayleigh Gallagher

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Charlotte Thompson

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Swee Siang Boey

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Tim Bull

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Nick Bird

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Aimee Talbot

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Elinor Sidwell

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