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Regulation

News

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Will we see more adviser fines diverted to the FSCS?

24 April 2014 1:00 pm | By Samuel Dale

Deal has been agreed for an FCA penalty to go to the Financial Services Compensation Scheme for the first time.

Comments (4)

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FOS upholds complaint against adviser over £30k Sipp commission

24 April 2014 12:49 pm | By Tessa Norman

Ombudsman rules initial commission on Sipp was unsuitably high.

Comments (11)

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Pensions regulator reveals details of firm's £108,000 auto-enrol compliance failings

24 April 2014 11:18 am | By Tom Selby

Dunelm Soft Furnishings failed to pay £108,000 in pension contributions to its staff after being hit with payroll problems.

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Retired IFA John Calland calls on advisers to help pursue FOS legal battle

24 April 2014 10:20 am | By Tessa Norman

Calland calls on advisers to offer legal and financial help to pursue case against FOS

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Opinion

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Nic Cicutti: Steve Webb needs to be more radical on pension tax relief

24 April 2014

Pensions minister should also look at tax-free lump sum benefits.

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New platform world appears anything but clean and simple

22 April 2014 | By Paul McMillan

Huge discrepancies highlight the “utterly confusing world which consumers have been ushered into”.

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Robert Sinclair: Damage from inducements crackdown should not be underestimated

22 April 2014

The FCA’s inducement rules risk making product providers withdraw a lot of their training support and make it harder for providers and distributors to work together to make a better industry.

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Robert Reid: Solving the independence mess

22 April 2014

This could end up as a judicial review as some major players seek to protect their status

Comments (2)

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Phil Young: Crunching the numbers on adviser profits

17 April 2014

Higher revenues are tied to a percentage of assets charging structure.

Comments (2)

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Alan Lakey: The fatal flaws of pandering to consumers

17 April 2014

Regulators and politicians trying to play to consumer interests just end up making access to financial services worse

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More opinion

PFS Conference

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PFS calls for FOS guarantees on simplified advice

14 November 2013 | By Tessa Norman

Advisers more scared of FOS than FCA, says PFS president.

Comments (3)

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FCA Inducement News

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Lighthouse chief says inducements crackdown will not dent revenues

26 September 2013 11:11 am | By Michael Glenister

Malcolm Streatfield says the network’s arrangements with providers have always complied with FCA rules.

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IFP Conference 2013

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Simon Chamberlain: 'Advisers feed off crumbs from providers' table'

3 October 2013 10:41 am | By Michael Glenister

Succession boss tells advisers clients do not want to be advised by “someone they think is poor.”

Comments (19)

More IFP Conference news

Analysis

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Peter Hamilton: Avoid 'open-ended advice' with your terms of business

14 April 2014

Take care when drafting terms of business agreements to clearly define the scope of advice and service provided by a firm.

Comments (4)

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Will the MMR deliver on its objectives?

24 April 2014 | By Devraj Ray

On the eve of MMR implementation, Money Marketing talks to brokers about how the review has been handled, and how it will impact brokers and consumers.

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Better Business: Proper disclosure of adviser charging

24 April 2014

Following the FCA’s recent review of adviser charging, it is important to ensure clients are given a clear breakdown of advice costs as soon as possible.

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Compliance tip of the week: Research your products

16 April 2014

Research products and their associated risks. Do not allow product providers to sell to you. Many of the major misselling incidents of recent years had at their heart a very successful salesman flogging his product to IFAs. All too often, the adviser had no idea what was in the product or the risks to which anyone holding it was exposed.

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Fund Data

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