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  • FCA halts regulated business at app-based wealth manager

    The FCA has imposed sweeping restrictions on app-based London wealth management firm Strowz Ltd (FRN 792373) in response to “significant concerns” about the firm and its handling of client money.

  • FCA rejects claims manager appeal over regulated activity

    The FCA has turned down an application to annul its decision to halt regulated business at Hull-based claims management firm (CMC) Prestige Legal Ltd (FRN 915619).

  • Openwork's 2plan restarts growth after FCA lifts VREQ

    Restricted advice wealth manager 2plan, part of the Openwork Partnership, said it will restart its commitment to growth after the Voluntary Requirement (VREQ) imposed on it in 2024 was lifted by the FCA following a review.

  • 16m may be missing out on essential financial advice

    Last year 15.8m UK adults who likely needed financial guidance failed to receive regulated financial advice, the FCA has revealed in its new Financial Lives 2024 survey.

  • Under 1 in 10 seeking financial advice

    Just 8.6% of those surveyed by the FCA for its latest Financial Lives survey had received financial advice on investments, pensions or retirement planning in the previous 12 months.

  • FCA confiscates £300k from investment fraudsters

    The Financial Conduct Authority has secured confiscation orders of £305,284 against a trio of convicted investment fraudsters.

  • FCA set to slash insurance red-tape

    The FCA plans to cut back insurance red-tape to give the industry simpler, more straightforward rules, it said.

  • 2 day traders plead guilty to insider dealing

    Two professional day traders have pleaded guilty to six instances of insider deal.

  • Hartley clients hold High Court protest

    Clients of Hartley Pensions held a protest outside the High Court this week as the saga following the collapse of the SIPP provider in 2022.

  • Chancellor appoints four new FCA board members

    The FCA has appointed four new non-executive directors to its board as well as extending Richard Lloyd’s second term as a non-executive director on the board.

  • FCA seeks views on crypto trading platforms

    The FCA is seeking views on the future regulation of specific cryptoasset activities, ahead of legislation to bring them within regulation.

  • FCA reassures Hartley clients after ‘concerning’ letter

    The Financial Conduct Authority has reassured Hartley Pensions clients following a letter sent by the joint administrators over the unauthorised movement of monies from their SIPPs by Hartley.

  • Editor’s Comment: Why I’m in two minds on FCA's AI love affair

    I have to confess that I am in two minds on the rapid spread of AI into regulation, despite assurances from the FCA that it will help cut down on admin and generally be a boon.

  • FCA delays SDR for portfolio managers

    The Financial Conduct Authority (FCA) has delayed its plans to apply sustainability disclosure requirements (SDR) to portfolio managers.

  • Investment complaints fall by nearly 16%

    The number of consumer complaints to financial services firms about investments fell more than any other product group last year, according to the latest FCA data.

  • FCA to launch live AI testing service

    The FCA plans to launch a live AI testing service to help firms deploy safe and responsible AI and is seeking firm's views before launching the service.

  • Glasgow firm has permissions removed

    The FCA has cancelled the part 4A regulatory permissions of Glasgow-based firm LR Kennedy Insurance Services (FRN: 311420) after repeated failures from the firm to respond to questionnaires, telephone calls and emails from the regulator.

  • FCA uses technology to be more 'user-friendly'

    The FCA is embracing technology to help it be more “user-friendly” by reducing regulatory burdens and adopting a more dynamic approach to supervision and authorisation.

  • FCA simplifies supervisory letters

    The FCA has made it easier for Financial Planners to find up-to-date supervisory communications on its website.

  • FCA to cut some fund rules red tape by 70%

    The FCA has published plans to “streamline” rules on the types of funds investment firms must hold in a step it claims could cut red tape by up to 70%.

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