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Regulation

Economics / Markets

US fines BNP Paribas record $9bn for 'tour de fraud'

US authorities have hit French bank BNP Paribas with a giant $8.9bn (£5.2bn) fine for breaking trade sanctions.

clock 01 July 2014 • 2 min read

Regulation

Compliance service designed for small firms launched

The Consulting Consortium (TCC) has launched a 'bespoke' compliance support service for small financial advice firms.

clock 03 June 2014 •

Regulation

Keeping one step ahead of the regulator in an ever changing world

Keeping one step ahead of the regulator...

clock 14 May 2014 •

Regulation

What the supervision shift means for your firm

What the supervision shift means for your firm

clock 12 May 2014 •

Regulation

Regulation round-up: Budget, FCA risk outlook and independence

Your monthly update on the key regulatory events of the past few weeks

clock 07 May 2014 •

Regulation

Towry sees regulatory costs quadruple; pays £424k for historic complaints

Wealth manager Towry has been hit by a £2.1m payment for settling regulatory issues following talks with the Financial Conduct Authority (FCA), its accounts have shown.

clock 06 May 2014 •

RDR

Cost of advice: 11 things you need to know about the FCA's review

Eleven things you need to know about the FCA's cost of advice probe

clock 07 April 2014 •

Regulation

Audit Office: Regulators must prove they are value for money

The National Audit Office (NAO) has called on the financial regulators to show they are providing value for money after finding they do not have processes in place to judge the best use of their cash.

clock 25 March 2014 •

Pensions

Why have SIPP complaints soared?

SIPP complaints to the Financial Ombudsman recently faced a sharp increase. Why did this happen? Fiona Murphy reports.

clock 19 March 2014 •

Regulation

FCA pledges better communication with small firms

The Financial Conduct Authority (FCA) has accepted it needs to invest in better communication with small firms, following recommendations by its board in January.

clock 14 March 2014 •
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