Tag: retail
Showing 12 out of 15 results
FCA’s Mark Steward looks at market abuse, short-selling and the rise of the retail investor
The FCA publishes proposals to ban sale of crypto-derivatives to retail consumers
SFC and AMF sign MOU on mutual recognition of funds between Hong Kong and France
Last week, the Securities and Futures Commission (SFC) of Hong Kong announced that it had signed a Memorandum of Understanding (MOU) with the …
UK: Retail product distribution payments under the FCA spotlight - finalised guidance on inducements and conflicts of interest
The FCA has set an uncompromising compliance standard for what it sees as unacceptable payments from product providers to advisors in the retail …
Court of Appeal allows LIBOR claims to proceed
The Court of Appeal has allowed parties to two claims against LIBOR panel banks to amend their pleadings to include allegations that the banks made …
Australia: ASIC releases reports on capital protected products
ASIC has released two reports on ‘capital protected’ and ‘capital guaranteed’ investment products: a report that ASIC describes as a ‘health check’ on …
UK: Financial Conduct Authority (FCA)'s Risk Outlook and Business Plan for 2013 published
The FCA's Risk Outlook (FCA RO) has been published today, setting out the regulator's current thinking on conduct in financial markets by …
UK OFT publishes guidance on its power to suspend consumer credit licences
The OFT has published guidance on how and when it will use its new power to suspend consumer credit licences. Section 108 of the …
Temporary Product Intervention Rules: inadequate safeguards
The FSA is consulting (as it is required to do under the Act) on the new power given to the FCA under the Financial Services Act 2012 to issue temporary …
French AMF calls on investors to take basic precautions in relation to non-financial investments: consumer responsibility?
The French AMF has issued a public warning to investors who may, in the light of current low interest rates, be tempted to invest in …
UK FSA consults on new capital regime for Self-Invested Personal Pension (SIPP) operators
In light of the failure and near failure of a number of SIPP operators since 2007, the FSA has concluded that its current prudential requirements …
Dear CEO: please confirm your asset management firm has identified and mitigated the risk of conflicts of interest between it and its customers
Conflicts of interest between asset managers and their customers: Identifying and mitigating the risks is a 'Dear CEO' publication in which the FSA …
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