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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. 

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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.

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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.

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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.

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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.

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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.

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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.


The Advisers' Prayer

29 July 2014

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

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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? 

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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?

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PFS Conference


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


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


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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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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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.

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