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Regulation

News

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ShareAction attacks ‘dangerously weak’ DC governance reforms

17 September 2014 12:26 pm | By Sam Brodbeck

Charity warns new independent governance committees are conflicted and lack the power to hold providers to account.

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Listed companies face executive pay shake-up

17 September 2014 8:57 am | By Tessa Norman

New rules from Financial Reporting Council will see pay linked to long-term performance. 

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'Safe as houses': How ex-SJP adviser misled clients

16 September 2014 12:13 pm | By Tessa Norman

Ex-SJP adviser promised clients annual returns of up to 24 per cent.

Comments (9)

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Citizens Advice urges FCA to place 'health warning' on payday loan adverts

16 September 2014 10:20 am | By Devraj Ray

CAB says payday loan adverts that appeal to children are “utterly unacceptable”.

Comments (3)

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Opinion

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Richard Leeson: RDR poses pitfalls for asset gatherers

16 September 2014

The asset-gathering business model is a potential cause for concern, particularly when it comes to product suitability

Comments (1)

Nick Bamford MM 700

Nick Bamford: Advisers not to blame for breakdown in trust

15 September 2014

Commentators like Sue Lewis of the FCA Consumer Panel fall into the “adviserism” trap on a regular basis.

Comments (17)

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Kim North: Stakes are too high to gamble on Ucis

12 September 2014

Over the years I’ve been sent thousands of mailings promoting unregulated collective investment schemes.

Comments (5)

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MM leader: Interesting twist to provider suitability role

11 September 2014

The FCA and its predecessor have long been banging the drum about the importance of due diligence and assessing suitability.

Comments (4)

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FCA: Getting ready for consumer credit authorisation

8 September 2014

FCA regulation of the consumer credit industy should help to establish a minimum standard.

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MM leader: What happens to pension qualifications post-Budget?

4 September 2014

Come next April, the world of pensions will be irrevocably changed, and with it the advice given will have to be adapted accordingly.

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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)

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Analysis

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Richard Leeson: RDR poses pitfalls for asset gatherers

16 September 2014

The asset-gathering business model is a potential cause for concern, particularly when it comes to product suitability

Comments (1)

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Adam Samuel: Wielding the power of attorney

29 August 2014

Grey areas can emerge when trying to meet the interests of your customers, especially in areas such as power of attorney

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Falling securitisation costs could spark wave of new lenders

29 August 2014 | By Devraj Ray

Proposed changes to the Solvency II directive would bring down the cost of securitising, which some say will lead to new lenders.

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Ian McKenna: Would guidance be better as a short-term fix?

26 August 2014

A huge amount of time and money is about to be spent because the Chancellor did not fully think through the implication of the guidance guarantee. 

Comments (1)

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