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Regulation

News

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FCA fines RBS £14.5m over poor mortgage advice

27 August 2014 8:29 am | By Natalie Holt

Only two of the 164 sales reviewed met the required standards.

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BBA: Post-MMR market 'settles' as approvals rise

26 August 2014 5:00 pm | By Devraj Ray

House purchase approvals grew 12 per cent year-on-year in July, as MMR troubles ease.

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Three directors of Ucis advice firm disqualified

26 August 2014 4:49 pm | By Tessa Norman

Three directors banned for unsuitable recommendations worth £2m and unauthorised transfers. 

Comments (6)

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Savills: UK house prices to rise 25.7% over the next 5 years

26 August 2014 12:45 pm | By Paul Thomas

Savills raises 2014 UK forecast to 9.5 per cent.

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Opinion

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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. 

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Pete Matthew: Gabriel - archangel of misery

26 August 2014

Three hours I have spent wrestling with Gabriel, bringer of despair, who demands pointless information just to keep someone in Canary Wharf in a job.

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FOS loophole exposes contradictions

22 August 2014 | By Tessa Norman

Why do different rules apply to adjudicator and ombudsman decisions?

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Nic Cicutti: Why Alan Lakey has got it wrong on PPI misselling

15 August 2014

Alan is well-known for his dislike of the FOS, which he repeats at regular intervals.

Comments (28)

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Simon Collins: Risk profiling tools are not the be-all and end-all

13 August 2014

The FCA is again pushing the importance of adequate risk-profiling.

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Carl Lamb: Advisers are in denial over trail switch-off

12 August 2014

Will your advice model become extinct or survive among the fittest?  

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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.

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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.”

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Analysis

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Adam Samuel: Wielding the power of attorney

21 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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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

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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.

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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.

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