Bing alternative finance

FCA blocks compliance officer due to 'competence' concerns - Citywire - Citywire.co.uk

Wed, 08/23/2017 - 14:33

Citywire.co.uk

FCA blocks compliance officer due to 'competence' concerns - Citywire
Citywire.co.uk
The Financial Conduct Authority (FCA) has denied a compliance officer, approval to perform controlled functions due to concerns over his 'competence and ...

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FCA blocks compliance officer due to 'competence' concerns - Citywire.co.uk

Wed, 08/23/2017 - 13:02

Citywire.co.uk

FCA blocks compliance officer due to 'competence' concerns
Citywire.co.uk
The Financial Conduct Authority (FCA) has denied a compliance officer approval to perform controlled functions due to concerns over his 'competence and capability' to perform said functions. Rupert Nathan, who was employed by financial trading company ...

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Latest FCA intervention on SSAS signals 'creeping regulation' - www.professionaladviser.com

Wed, 08/23/2017 - 12:06

Latest FCA intervention on SSAS signals 'creeping regulation'
www.professionaladviser.com
Director of technical Martin Tilley: "I don't think the FCA will ever regulate SSASs, unfortunately. From our point of view, we operate our SSASs in the same way we regulate our SIPPs, to the standard that we are FCA authorised and regulated, we have ...

More than 70000 City managers could be held personally responsible for misconduct under the FCA's new ... - City A.M.

Wed, 08/23/2017 - 10:59

City A.M.

More than 70000 City managers could be held personally responsible for misconduct under the FCA's new ...
City A.M.
While banks, building societies, credit unions and Prudential Regulation Authority (PRA)-designated investment firms previously fell under the regime, all senior staff at FCA-authorised firms including financial advisers, private equity firms and fund ...

Ban on pension cold-callers: Find out how it works - BT.com

Mon, 08/21/2017 - 11:24

BT.com

Ban on pension cold-callers: Find out how it works
BT.com
Existing occupational schemes that get a request from a member to transfer cash out of their account will have to check that it's being sent to a provider that is FCA-approved, has an active employment link to the individual or is in an authorised ...
UK government announces measures to tackle pension cold-callingThe Actuary
Ban on cold calling pensioners after scammers took £5m since the start of 2017ChronicleLive
Government to ban cold calling to protect pensioners from scamsDIGITALLOOK
Financial Reporter -Money Observer
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China's Great Wall confirms interest in Fiat Chrysler - Reuters

Mon, 08/21/2017 - 06:47

Reuters

China's Great Wall confirms interest in Fiat Chrysler
Reuters
SHANGHAI/WASHINGTON (Reuters) - A direct overture by Chinese automaker Great Wall Motor Co Ltd to Italian-American automaker Fiat Chrysler Automobiles NV sent FCA shares up sharply on Monday, as investors cheered the potential sale of the storied ...
FCA just gets passed aroundAutomotive News (subscription) (blog)
China's Great Wall Wants To Buy Jeep And Only JeepJalopnik
China's Great Wall Motor confirms interest in Fiat ChryslerEJ Insight
Automotive News -Zacks Investment Research
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FCA just gets passed around - Automotive News (subscription) (blog)

Mon, 08/21/2017 - 04:02

FCA just gets passed around
Automotive News (subscription) (blog)
Make no mistake, FCA would be appealing to any number of suitors, although the company that makes the most sense is already manufacturing Jeeps under license from FCA, Guangzhou Automobile Group. But understand — FCA is going to the highest bidder. U ...

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FCA cancels 200+ financial firms' authorisations in last 12 months ... - International Investment

Fri, 08/18/2017 - 12:57

International Investment

FCA cancels 200+ financial firms' authorisations in last 12 months ...
International Investment
More than 200 firms have had their authorisations cancelled by the UK financial services regulator the Financial Conduct Authority in the last 12 months to the ...

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FCA proposes extension of senior managers regime - CIPD (blog)

Fri, 08/18/2017 - 09:43

FCA proposes extension of senior managers regime
CIPD (blog)
In 2016, the Financial Conduct Authority (FCA) introduced the senior managers regime to enhance senior-level accountability in the financial sector. The regime initially applied to ... These senior people need FCA approval before starting their roles ...

FCA stops 200 trading firms over 'basic' requirements - FTAdviser.com - FT Adviser

Thu, 08/17/2017 - 14:40

FT Adviser

FCA stops 200 trading firms over 'basic' requirements - FTAdviser.com
FT Adviser
More than 200 firms had their authorisations cancelled by the Financial Conduct Authority in the 12 months to the end of June the regulator has revealed.
FCA cancels over 200 firms' authorisations in 2016/17 | Financial ...Financial Reporter
FCA reveals number of firms breaching 'basic regulatory ...Money Marketing

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FCA cancels over 200 firms' authorisations in 2016/17 - Financial Reporter

Thu, 08/17/2017 - 14:22

Financial Reporter

FCA cancels over 200 firms' authorisations in 2016/17
Financial Reporter
In its August 'regulation round-up' newsletter, the FCA says it has "provided accessible information to firms about the importance of complying with these requirements, and has notified firms that failure to comply may result in firms losing their ...
FCA stops 200 trading firms over 'basic' requirementsFT Adviser
FCA reveals number of firms breaching 'basic regulatory requirements'Money Marketing

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Categories: Alt Fi

The ai Corporation approved as an Electronic Money Institution (EMI) by the Financial Conduct Authority (FCA) - Bobsguide (press release)

Thu, 08/17/2017 - 11:42

The ai Corporation approved as an Electronic Money Institution (EMI) by the Financial Conduct Authority (FCA)
Bobsguide (press release)
The ai Corporation received formal approval for its e-money licence application from the FCA earlier this month, which will enable ai to provide fully FCA compliant financial services. The new licence means that ai is now regulated as an Electronic ...

FCA review will have 'significant impact' on sales incentives - Motor Trader

Thu, 08/17/2017 - 10:52

FCA review will have 'significant impact' on sales incentives
Motor Trader
Photo of Showroom Generic Desk 620 Moves by the Financial Conduct Authority (FCA) to assess incentives for sales staff will have a “significant impact” on car sales and car financing. That's the view of MotoNovo finance motor division CEO ... “The ...

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Time is running to respond to the FCA Consultation in respect of the ... - Lexology (registration)

Wed, 08/16/2017 - 16:51

FT Adviser

Time is running to respond to the FCA Consultation in respect of the ...
Lexology (registration)
The proposed extension of the SM&CR has come about as a result of the Financial Crisis and is intended to act as an “accountability system” - that is…
Senior Managers and Certification Regime Extension | Reed Smith ...JD Supra (press release)

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Senior Managers and Certification Regime Extension - Lexology (registration)

Wed, 08/16/2017 - 09:27

Senior Managers and Certification Regime Extension
Lexology (registration)
The UK Financial Conduct Authority (FCA) has published its long-awaited consultation paper on extending the senior managers and certification regime (SMCRE) to all authorised firms. ... Individuals other than senior managers whose role means that they ...

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Raising the SMCR - Asset Servicing Times

Tue, 08/15/2017 - 15:47

Raising the SMCR
Asset Servicing Times
Jonathan Davidson, executive director of supervision for retail and authorisations at the FCA, said when the proposal was released: “Culture and governance in financial services and its impact on consumer outcomes is a priority for the FCA. The ...

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FCA warns Interactive Brokers (UK) Ltd over alleged business principles breach - FinanceFeeds (blog)

Tue, 08/15/2017 - 09:16

FinanceFeeds (blog)

FCA warns Interactive Brokers (UK) Ltd over alleged business principles breach
FinanceFeeds (blog)
The UK Financial Conduct Authority (FCA) has earlier today announced that it had issued a warning notice to Interactive Brokers (UK) Ltd (IBUK). In its announcement, which comes more than two weeks after the notice was issued to the broker, the FCA ...

Google News

Cavendish Asset Management to merge seven funds - Fund Strategy

Mon, 08/14/2017 - 13:56

Fund Strategy

Cavendish Asset Management to merge seven funds
Fund Strategy
FCA approval has been granted and a shareholder vote will take place at an extraordinary general meeting on 1 September. Subject to approval, the mergers will take place on 15 September. The managers of the six smaller funds will continue to work for ...

Google News

RateSetter in “final stages” of FCA authorisation process - P2P Finance News

Mon, 08/14/2017 - 11:08

P2P Finance News

RateSetter in “final stages” of FCA authorisation process
P2P Finance News
MarketInvoice, another member, does not require FCA approval as invoice finance does not fall under the City watchdog's remit – technically the platform is selling invoices rather than lending. And LendInvest, which dropped its FCA application, has ...

ThinCats wins FCA approval - Insider Media

Fri, 08/11/2017 - 07:03

Insider Media

ThinCats wins FCA approval
Insider Media
Chief executive John Mould said: "We are delighted to have been granted FCA authorisation, proving the dedication of our team and processes. "We are very happy that more and more alternative finance providers are now being authorised, as it ultimately ...
Alternative lender ThinCats receives full FCA authorisationBQ Live

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Categories: Alt Fi

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