All Regulation Stories

Analysis of FCA enforcement actions uncovers widespread data weaknesses as a key driver of regulatory failings and financial penalties.

The committee found that the statutory six-month deadline for paying IHT is often incompatible with existing pension administration timescales, making it unrealistic for many PRs to...

Bank of Scotland has been fined £160,000 for breaching the UK’s financial sanctions regime after processing payments for a sanctioned individual, the Office of Financial...

The audit trail creates a tamper-resistant "golden record" of the advice journey, ensuring that firms are always audit-ready without the need for manual archiving.

The current approach to AI in financial services risks "serious harm" to consumers and the wider system, the report argues.

Reynolds advised his customers to invest in high-risk and unsuitable products while at the same time hiding high exit fees and forging documents. 

On another occasion, he used inside information to avoid a loss.

Ahmed Bawa, CEO of Rosemount Financial Solutions (IFA), says properly advised borrowing is a powerful safeguard in its own right, and as an industry we must be championing that...

Currie faces a default prison sentence of up to three years if he doesn't pay within three months.

The proposals aim to make it clearer how pensions perform, what they cost and the quality of service.