Regulation & Compliance
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Risk: We Need Standards
Gill Cardy wants a more universal understanding of risk May the heavens bless the FCA for continuing to focus attention on…
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Fessing Up To The Regulator
Lee Werrell, CEO of Compliance Consulant.org, Concludes His Practical Guide to Managing A Regulatory Crisis (For Part I, Click Here) In the last…
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Understanding Basis Risk
Understanding basis risk gives valuable insights into how fund managers seek to manage the exposure of their investments, says Nick Samouilhan, multi…
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Adviser Banned and Heavily Fined
A former director of Burlington Associates has been banned and fined by the FCA. Graig Cameron was said to have acted with…
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SIPPs Reform – The Devil’s In The Details
The FSA’s crackdown on SIPPs is justified, the industry believes. But its ideas about risk and asset valuation are still flawed. Kam…
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No CoCos for Breakfast
The FCA has decided to restrict the distribution of CoCos to retail investors. The regulator said that this was the first use…
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Keydata founder to sue FCA?
Rumours are rife that Keydata founder Stewart Ford is about to sue the FCA for £371m. It would appear that Ford wrote…
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Lessons from Down Under?
Chris Pitt, Head of Market Analysis at tech and consultancy provider IRESS, considers the FCA’s latest pronouncements on pensions in the light…
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Double Standards From The Regulator
The Regulator is Falling Asleep on the Job, says Gill Cardy Recent news, which even made it onto BBC Radio 4’s satirical…
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Oops, so you’ve goofed?
Okay, so you’ve made a mistake and it’s time to fess up to the regulator and tidy up the mess. What comes first,…
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