derek bradley
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FCA issues fines of nearly £46m for failures managing the Woodford Equity Income Fund
The Financial Conduct Authority (FCA) has reported this morning that it has decided to fine both Neil Woodford and Woodford Investment Management…
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Risk, regulation and the future of advice
When someone’s spent nearly two decades at the FCA and helped shape the way firms are supervised, you listen. And when that…
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As consumer duty turns two, tech-savvy wealth managers take the lead
Suman Rao, Managing Director for UK and Ireland at Avaloq shares her thoughts on the impact of Consumer Duty two years following…
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Firms must act now and digitise customer vulnerability to deliver targeted support, warns MorganAsh
Firms planning on providing the FCA’s new targeted support must digitise customer vulnerability processes to both ensure efficiency and comply with Consumer…
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FCA appoints Liam Coleman as interim chair of the Financial Ombudsman Service
Liam Coleman has been appointed interim chair of the Financial Ombudsman Service. He will take up the role on 10 October 2025. …
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Guest Insight | Time to regulate? JB Beckett asks is it time to reset the clock?
We’ve been here before but this time we’re older and apparently none the wiser about regulatory matters. In this, his latest blog…
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AIC urges Government to correct exclusion of investment companies from pension schemes bill
The Association of Investment Companies (AIC) has written to Treasury minister Torsten Bell MP to urge the government to amend its Pension Schemes Bill.…
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Consumer duty two years on – Chris Jones, Financial Services Director, Dynamic Planner, provides his insights
Consumer Duty is two years old. If the time seems to have gone as quickly to you as it does to me,…
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Reeves’ reforms: former FCA regulator warns against false growth vs compliance trade-off
Iain Armstrong, Financial Crime Compliance Strategy Executive Director at ComplyAdvantage discusses the financial crime implications of the Chancellor’s “Leeds Reforms”. Iain believes that…
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FCA fines Barclays £42 million for poor handling of financial crime risks
The Financial Conduct Authority (FCA) has fined Barclays Bank UK PLC and Barclays Bank PLC a total of £42 million for separate…
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Managing the FCA’s latest data request – intelliflo’s Richard Wake shares practical tips for advice firms
As the FCA issues a sweeping new data request to advice firms across the UK, Richard Wake, Chief Operating Officer at intelliflo,…
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Compliance strategies for navigating the next recession with rising tariffs and trade deals
by David Clee, CEO and Founder at MirrorWeb With a recession looming and global trade becoming ever more volatile, compliance is no…
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Redress system reforms to prevent compensation delays and provide predictability needed for innovation
The Financial Conduct Authority (FCA) and Financial Ombudsman Service are seeking to modernise the financial redress system to help prevent it becoming…
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Financial Ombudsman Service announces change to compensation interest levels
The Financial Ombudsman Service has today (15 July) announced plans to change the interest rate applied to the compensation awarded to consumers.…
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FCA fines Monzo £21m for failings in financial crime controls
The Financial Conduct Authority (FCA) has fined Monzo Bank Ltd £21,091,300 for its inadequate anti-financial crime systems and controls between October 2018…
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Firms should take steps now as FCA publishes new non-financial misconduct rules, says RSM UK
As the FCA publishes new regulation on bullying and harassment in financial services firms, RSM UK says firms should take steps now…
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FCA clarifies expectations on bullying, harassment and violence to deepen trust in financial services
Serious bullying and harassment in financial firms qualify as misconduct, under rules confirmed by the Financial Conduct Authority (FCA). Previously, it was…
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FCA’s new ‘targeted support’ proposals spark industry optimism for closing the advice gap| Industry leaders react positively to today’s news
The Financial Conduct Authority’s (FCA) latest consultation on “targeted support” has been met with broad industry approval, with many welcoming it as…
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FCA’s targeted support proposal could help millions left behind by the advice gap
Following today’s announcement of the FCA’s consultation paper on targeted support, Steven Levin, CEO of Quilter, has shared his detailed analysis on what this…
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FCA announces once-in-a-generation advice changes to help millions navigate their financial lives
Millions more people could get help navigating their financial lives with support on pensions and investments, under proposals announced today by the…
