Bing alternative finance

Comment: Regulatory uncertainty leaves up to a million SSAS members in limbo - Citywire.co.uk

Mon, 07/17/2017 - 14:46

Citywire.co.uk

Comment: Regulatory uncertainty leaves up to a million SSAS members in limbo
Citywire.co.uk
Sipps are regulated by the FCA, and they function in a very similar way to SSASs, so some kind of FCA regulation feels like a natural fit for a SSAS. In practical terms, though, how would the mechanics of regulation work? Who would be an FCA-authorised ...

Categories: Crowdfunding

Bloomberg receives FCA approval for MiFID II MDP testing - FTSE ... - FTSE Global Markets

Mon, 07/17/2017 - 11:12

Finance Magnates

Bloomberg receives FCA approval for MiFID II MDP testing - FTSE ...
FTSE Global Markets
Bloomberg Data Reporting Services Limited (BDRSL) has received approval from the UK Financial Conduct Authority (FCA) to start testing its MiFID II Approved ...
Bloomberg BDRSL Secures FCA Approval for MIFID II MDP ...Finance Magnates
Bloomberg approved for FCA's MiFID II MDP testing | Financial ...Automated Trader

all 4 news articles »
Categories: Crowdfunding

FundingKnight gets FCA authorisation - AltFi

Sun, 07/16/2017 - 22:07

AltFi

FundingKnight gets FCA authorisation
AltFi
The specialised peer-to-peer marketplace lender was given full authorisation from the Financial Conduct Authority. GLI Finance's P2P lender, FundingKnight, was granted full authorisation on Friday. The platform has been operating under interim status ...

Categories: Crowdfunding

TONY HETHERINGTON: Hand over my ID to a courier? I wouldn't give it to James Bond - This is Money

Sat, 07/15/2017 - 20:55

This is Money

TONY HETHERINGTON: Hand over my ID to a courier? I wouldn't give it to James Bond
This is Money
Pension Safe did not reply. FCA records show that the name Pension Safe is used by a company in Bury, Lancashire, called Knight Meade Limited, which is licensed to drum up business for a separate FCA-authorised company called Consumer Wealth ...

and more »

GLI's turnaround project FundingKnight snaps up FCA approval - P2P Finance News

Fri, 07/14/2017 - 14:30

GLI's turnaround project FundingKnight snaps up FCA approval
P2P Finance News
GLI FINANCE-OWNED lending platform FundingKnight has clinched full authorisation from the Financial Conduct Authority (FCA). The final stamp of approval comes just one year after the platform went into administration and was rescued by the Aim-listed ...

GLI Finance's Lending Unit FundingKnight Gets Full FCA Authorisation - Interactive Investor

Fri, 07/14/2017 - 12:37

P2P Finance News

GLI Finance's Lending Unit FundingKnight Gets Full FCA Authorisation
Interactive Investor
Share this. LONDON (Alliance News) - GLI Finance Ltd on Friday said its specialist peer-to-peer and marketplace lender FundingKnight has been granted full authorisation from the UK Financial Conduct Authority. ... "In anticipation of this approval ...
GLI's turnaround project FundingKnight snaps up FCA approvalP2P Finance News
FundingKnight granted full FCA authorisationLondon South East (registration) (blog)
FundingKnight, Part of GLI Finance, Receives Full FCA AuthorisationCrowdfund Insider

all 4 news articles »

GLI Finance's Lending Unit FundingKnight Gets Full FCA Authorisation - London South East (registration) (blog)

Fri, 07/14/2017 - 12:15

GLI Finance's Lending Unit FundingKnight Gets Full FCA Authorisation
London South East (registration) (blog)
LONDON (Alliance News) - GLI Finance Ltd on Friday said its specialist peer-to-peer and marketplace lender FundingKnight has been granted full authorisation from the UK Financial Conduct Authority. FundingKnight has been operating under interim ...

and more »

FCA fines compliance officer £75000 over DB transfer failings - www.professionalpensions.com

Fri, 07/14/2017 - 12:10

www.professionalpensions.com

FCA fines compliance officer £75000 over DB transfer failings
www.professionalpensions.com
"This led to a serious risk of unsuitable advice being given to customers of FGS and LAB about the merits of transferring their pension, from a DB [defined benefit] to a defined contribution scheme, as part of an ETV pension transfer exercise," the FCA ...
FCA fines compliance officer £75k for pension transfer failings ...Money Marketing

all 12 news articles »

FCA fines compliance officer £75000 over DB transfer failings - www.professionaladviser.com

Fri, 07/14/2017 - 11:46

www.professionaladviser.com

FCA fines compliance officer £75000 over DB transfer failings
www.professionaladviser.com
"This led to a serious risk of unsuitable advice being given to customers of FGS and LAB about the merits of transferring their pension, from a DB [defined benefit] to a defined contribution scheme, as part of an ETV pension transfer exercise," the FCA ...
FCA fines compliance officer £75k for pension transfer failings ...Money Marketing
FCA fines compliance officer for pension transfer failingsInternational Adviser

all 12 news articles »

Wealth manager sentenced for fraud drops FCA appeal - Portfolio Adviser

Fri, 07/14/2017 - 10:36

Wealth manager sentenced for fraud drops FCA appeal
Portfolio Adviser
A wealth management firm has withdrawn its appeal against an FCA decision to cancel its permissions after its founder was found guilty of insurance fraud last year. ... regulator said: “The authority has concluded, on the basis of the facts and matters ...

FCA fines compliance officer £75k for pension transfer failings ... - Money Marketing

Fri, 07/14/2017 - 09:30

Money Marketing

FCA fines compliance officer £75k for pension transfer failings ...
Money Marketing
The FCA has fined compliance oversight officer David Watters £75,000 for putting clients at risk of unsuitable pension transfer advice. The regulator says David ...
FCA fines compliance officer £75000 over DB transfer failingswww.professionaladviser.com
FCA fines compliance officer for pension transfer failingsInternational Adviser

all 12 news articles »

Board Changes - London South East (registration) (blog)

Fri, 07/14/2017 - 09:06

Board Changes
London South East (registration) (blog)
It is proposed that Sarah Ing will join the Board as a Non-Executive Director, subject to FCA approval. Sarah has 30 years' experience in accountancy, investment banking and fund management, including time with HSBC and UBS.� She is a Chartered ...

FCA warns of Axa IM clone firm - FT Adviser

Fri, 07/14/2017 - 07:50

FCA warns of Axa IM clone firm
FT Adviser
According to the FCA the fraudsters are using the web address axaim-asia.com and the email addresses wealthmanagement@axaim-asia.com and contact@axaim-asia.com. In a statement the FCA said: “This firm is not authorised or registered by us but has ...

Categories: P2P Lending

FCA warns of Axa IM clone firm - FT Adviser

Fri, 07/14/2017 - 07:50

FT Adviser

FCA warns of Axa IM clone firm
FT Adviser
In a statement the FCA said: “This firm is not authorised or registered by us but has been targeting people in the UK, claiming to be an authorised firm. “This is what we call a 'clone firm'; and fraudsters usually use this tactic when contacting ...

and more »

N Brown probed over rip-off policies: Fashion chain to hand out £40m compensation for selling bad-value insurance - This is Money

Thu, 07/13/2017 - 20:50

This is Money

N Brown probed over rip-off policies: Fashion chain to hand out £40m compensation for selling bad-value insurance
This is Money
This, we believe, is a key concern for the N Brown group given its materiality to group profit before tax.' However, N Brown believes that is unlikely, as the FCA gave 'full and unconditional' authorisation to its financial services business in ...

and more »

New FCA rules open door to London Saudi Aramco listing - Financial Times

Thu, 07/13/2017 - 09:01

Financial Times

New FCA rules open door to London Saudi Aramco listing
Financial Times
The FCA proposed on Thursday to not treat a sovereign shareholder as a related party, meaning it would not have to seek prior shareholder approval for a transaction between the state and the company, such as the purchase of other state owned assets, ...
Britain floats new sovereign IPO rules in bid for Aramco prizeYahoo Finance UK
City eases rules in bid to tempt $2 trillion Saudi Aramco floatEvening Standard
Aramco exemption bends London IPO rules to limitBreakingviews
New York Times
all 24 news articles »

Bankhall launches mortgage and protection compliance solution - Financial Reporter

Thu, 07/13/2017 - 08:55

Financial Reporter

Bankhall launches mortgage and protection compliance solution
Financial Reporter
Bankhall has launched a new mortgage, protection and general insurance compliance support solution for directly FCA authorised firms. Firms will gain access to Bankhall's regulatory experts and a core package which includes face-to-face compliance ...

FCA Issues Warning Against Another Clone, Unauthorised Firm - Finance Magnates

Wed, 07/12/2017 - 21:31

Finance Magnates

FCA Issues Warning Against Another Clone, Unauthorised Firm
Finance Magnates
The Financial Conduct Authority (FCA), today listed Alpha Consulting in its latest batch of warnings about clone firms posing as legitimate approved businesses, in an attempt to con UK consumers into making payments for its investment services. ... The ...

and more »

LME favourite to clear for new base metals platform NFEx - sources - Reuters UK

Wed, 07/12/2017 - 17:43

Reuters UK

LME favourite to clear for new base metals platform NFEx - sources
Reuters UK
The London Metal Exchange is the favourite to clear trades for the new base metals platform NFEx as it would be the most efficient option for those wanting to ...

and more »

PEPs and anti-money laundering: The FCA issues guidance - Lexology (registration)

Wed, 07/12/2017 - 16:41

PEPs and anti-money laundering: The FCA issues guidance
Lexology (registration)
Moreover, in assessing the extent of EDD, guidance issued by the FCA or other supervisory authority (approved by the Treasury), may be taken into account. Under the MLR 2017 the FCA must ... Recalling that the MLR 2017 set out that all firms must apply ...

Pages