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UK financial regulation
FCA faces backlash over plan to ‘name and shame’ companies under investigation
...The move has caused anger in ministerial circles, fuelling fears that the Financial Conduct Authority’s approach to regulation is harming the City of London and driving business abroad....
April 21, 2024
Fund management
Wall Street watchdog floats plan to let brokers promise future results
...“A member’s views regarding the projected performance of an investment strategy or single security may be useful,” the authority said in the proposal....
November 19, 2023
FT Live
Financial Adviser Service Awards 2024
Who gives you 5 star service?
Thursday, 21 NovemberNatural History Museum, Cromwell Road, London, UK
News in-depthUK infrastructure
Water companies pay £2.5bn in dividends in two years as debt climbs by £8.2bn
...Investors’ willingness to finance the plan relies on a decent regulatory settlement, it added....
April 15, 2024
LexFinancial Conduct Authority UK
Naming and shaming banks is a regulatory insight too far Premium content
...The UK’s Financial Conduct Authority is under pressure to pause plans to name companies when it opens investigations. At present, it only does this in exceptional cases....
April 24, 2024
Financial & markets regulation
UK regulator warns banks to prepare for costs tied to motor finance probe
...In a letter published on Friday, the Financial Conduct Authority told lenders it would monitor their financial resources and use “regulatory tools to intervene if we find your firm has not undertaken any...
April 12, 2024
Exchange traded funds
Regulator fines broker-dealer for recommending leveraged ETPs
...The US Financial Industry Regulatory Authority hit two Stifel broker-dealer divisions with $2.3mn in fines and restitution over unsuitable recommendations on leveraged exchange traded products....
April 4, 2024
FT Live
Financial Advice Forum
Optimising client centric advice in uncertain times
Tuesday, 24 September8-14 Cooper's Row, London EC3N 2BQ, UK
Quant investing
China’s quant funds count the cost of regulatory clampdown
...For others it is time to toe the line on authorities’ version of a level playing field....
April 4, 2024
Exchange traded funds
Charles Schwab eyes UK rollout for US-domiciled ETFs
...The Financial Conduct Authority, the UK regulator, consulted with asset managers earlier this year on plans for its post-Brexit overseas funds regime, which will allow fund managers to apply to sell non-UK...
April 26, 2024
LexPrivate equity
Private equity’s pet problems are a sign of things to come Premium content
...The UK’s Competition and Markets Authority plans to launch an investigation into the domestic petcare market....
March 12, 2024
Unhedged
A bad idea from Finra Premium content
...wealthy individuals, under a rule proposed by an industry self-regulatory body . . ....
November 22, 2023
UK financial regulation
FCA under pressure to abandon plans to name firms in UK deterrence drive
...Bim Afolami, City minister, said the Treasury was engaging with the Financial Conduct Authority over its plan, amid growing concerns in government circles that the regulator is undermining competitiveness...
April 22, 2024
Lloyds Banking Group PLC
Lloyds takes £450mn provision for car financing probe
...The Financial Conduct Authority last month said it would investigate certain commissions charged on car financing deals dating back a decade, saying the agreements gave lenders and dealers incentives to...
February 22, 2024
Due Diligence
The billionaire, TikTok and Trump Premium content
...The debt inside the regulatory ringfence — which surrounds the core utility and means it has to abide by regulatory conditions — plunged to little over half of its face value....
April 24, 2024
BBC
BBC splits India operations after coming under regulatory scrutiny
...The BBC has restructured its biggest overseas news bureau after coming under regulatory scrutiny from Indian authorities after it aired a controversial documentary about Prime Minister Narendra Modi....
April 9, 2024
Financial services
How’s the PE Winter looking?
...The backlog is four times larger by value than it was during the global financial crisis. Not all these unsold companies will be duds....
April 25, 2024
FT Live
Financial Times @COP
FT Live events coinciding with COP
Monday, 11 NovemberBaku, Azerbaijan
LexElaine Moore
The Lex Newsletter: AI spending plans are spooking the market Premium content
...The UK’s Financial Conduct Authority is under pressure to abandon its plans to name and shame companies under investigation....
April 26, 2024
Special ReportFTfm: Exchange Traded Funds
Financial advisers seek guidance on recommending bitcoin ETFs
...One analyst coined the term “Cointucky Derby” to describe how the new ETFs shot out of the gate once the Securities and Exchange Commission reluctantly fired its regulatory starting gun, early in the new...
March 25, 2024
Close Brothers Group PLC
Close Brothers launches £400mn capital plan in response to car finance probe
...The group said that at present it had “no legal or constructive obligation” in relation to the Financial Conduct Authority probe and had not yet booked a provision as a result....
March 19, 2024
Futures contracts
Goldman and Citadel Securities back Lutnick’s renewed tilt on futures market
...The platform already trades currencies and cash Treasuries and in January received regulatory approval to trade futures....
April 25, 2024
LexUK banks
Why motor finance could be banking’s next PPI car crash Premium content
...Both the Financial Conduct Authority and the Financial Ombudsman Service (FOS), which handles consumer complaints, have investigations under way....
February 15, 2024
News updates from April 12: ECB keeps interest rates on hold; OJ Simpson dies aged 76
UK regulator warns lenders over motor finance probe
...In a letter published on Friday, the Financial Conduct Authority told lenders it would monitor their financial resources and use “regulatory tools to intervene if we find your firm has not undertaken any...
April 12, 2024
Chinese equities
Chinese authorities toughen quant trading rules in bid to prop up stock market
...Recent measures range from large-scale buying by state-run financial institutions to restrictions on mutual funds’ ability to sell shares....
February 21, 2024
UK financial regulation
UK accounting watchdog warns he is ‘sheriff for only half the county’
...Richard Moriarty, chief executive of the Financial Reporting Council, said on Tuesday that there were “serious gaps” in its regulatory toolkit and asked for more powers to bring it in line with watchdogs...
March 26, 2024
US Treasury bonds
Hedge fund groups sue SEC to challenge Treasury dealer rule
...“The dealer rule is indeterminate and leaves certain market participants uncertain of their need to comply with the dealer regulatory framework. Alternative asset managers are not dealers....
March 18, 2024
Ripple Labs, Inc.
Ripple Labs joins stablecoin rush amid crypto market revival
...They really want to start to solve real financial friction using forms of tokenised real world assets.”...
April 4, 2024

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