Regulation

New FCA regime good for clients, tough on firms

Margins, profits to be squeezed as consumer protections boosted

By James Langton |August 3, 2023

3 min read

Most firms falling short in conflict compliance

Regulators say suitability assessments and disclosure aren't adequate for firms that deal only in proprietary products

By James Langton |August 3, 2023

3 min read

Court pauses rival series of trailer-fee lawsuits

Key issue of whether trailer payments were improper to be decided before determining which investors are entitled to damages

By James Langton |August 3, 2023

2 min read

Adviser’s insider trading more extensive than SEC thought

Offshore stock trades came alongside previously-sanctioned options trades

By James Langton |August 2, 2023

1 min read