Compliance & Regulation

The advised versus non-advised debate currently bubbling away in the industry is a fascinating one. Is this a battle between the dark side and the light, or between innovators trying to push...

Female representation among senior management in the financial services industry has stagnated with little progress made in 2021, according to the annual review of the Women in Finance Charter. The government’s Women...

The Financial Conduct Authority (FCA) does not believe the financial services sector is diverse and inclusive and emphasised that diversity and inclusion is a good thing for firms and the markets they...

Advice firm JLT Specialty has been fined £7.8m by the Financial Conduct Authority (FCA) for failures around financial crime control including allowing a more than $3m bribe to take place. It is...

A serial fraudster who lied about having terminal cancer has been jailed for six years and nine months after executing an insurance and investment scam worth almost £2m. The swindle included a...

The Financial Conduct Authority (FCA) has named the providers it intends to authorise when the pre-paid funeral plans industry comes under its regulation from 29 July. Of the 64 funeral plan providers...

The Financial Ombudsman Service (FOS) has appointed Abby Thomas as chief executive and chief ombudsman. Thomas (pictured) has significant experience in leading change and driving operational excellence in large, complex organisations, the...

The Financial Conduct Authority (FCA) has warned consumers not to purchase products from two funeral plan providers. The warning comes ahead of a change in the law which brings funeral plans under...

Richard Lloyd has started his new role as interim chairman of the Financial Conduct Authority. Lloyd's appointment was announced on 4 February this year. Previously the FCA’s senior independent director, Lloyd (pictured)...

Actuaries are warning that proposed government regulations for the sector could “undermine the profession” and “lead to a lowering of standards”. The Institute and Faculty of Actuaries (IFoA) also urged the government...