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Regulation

News

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FCA fails to monitor compliance guarantees

1 August 2014 9:30 am | By Tessa Norman

Risk of attestations being used disproportionately, say lawyers. 

Comments (2)

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Pensions liberation: How scams are mutating post-Budget

1 August 2014 8:30 am | By Steve Tolley

Experts say pension liberators are employing increasingly sophisticated models to avoid regulatory scrutiny.

Comments (1)

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Financial Ltd faces 'hundreds of millions' in redress after FCA action

31 July 2014 2:30 pm | By Tessa Norman

FCA found “systemic weaknesses” in network’s systems and controls for recruiting and supervising advisers.

Comments (21)

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Independent audit of legacy pension charges to include exit fees

31 July 2014 11:15 am | By Michael Glenister

Update sets out terms of costs review with report to be published in December.

Comments (2)

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Opinion

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Nic Cicutti: Budget guidance is disaster waiting to happen

31 July 2014

The plans for guidance bear all the hallmarks of a poorly designed system.

Comments (14)

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MM leader: Time’s up on FCA long-stop excuses

31 July 2014 | By Natalie Holt

The regulator’s attitude to the lack of a long-stop shows it is just the same as the FSA.

Comments (7)

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Richard Leeson: Advisers must heed FCA's warnings on ongoing service

30 July 2014

The FCA is threatening enforcement action if firms do not address concerns raised in recent RDR thematic reviews.

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The Advisers' Prayer

29 July 2014

As a Bankers’ Oath is proposed, could it be time for an Advisers’ Prayer?

Comments (2)

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Peter Hamilton: The blurred line between advice and information

28 July 2014

How do advisers tackle simplified advice from a legal standpoint? 

Comments (10)

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IMA: It’s all about performance (data)

28 July 2014

Which share class should be used as the primary share class to calculate performance data in a post-RDR environment?

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)

More PFS Conference

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.

More FCA Inducement News

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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Financial planning is not just a marketing label

17 July 2014

Use the quieter summer months to determine which areas of your business might benefit from a modular charging structure

Comments (6)

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Adam Samuel: The problem with high net worth clients

15 July 2014

Higher net worth clients may seem desirable but can pose all kinds of compliance and legal problems.

Comments (5)

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Meeting the FCA's rules on costs disclosure

6 July 2014

The FCA has indicated increasing intolerance for non-compliance, so we are likely to see regulatory action if there is no improvement.

Comments (1)

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Richard Leeson: Lack of asset due diligence is prompting complaints

19 June 2014

Advisers sometimes overlook the appropriateness of underlying risk assets, resulting in complaints.

Comments (1)

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