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Regulation

News

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FCA issues warning notices against two insurance brokers

15 April 2014 11:26 am | By Samuel Dale

The FCA has not named the individuals or firms involved.

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FCA hits out at premium rate phone lines

15 April 2014 9:48 am | By Michael Glenister

Regulator responds after Which? called for Consumer Rights Directive to apply to financial services firms.

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FSCS adviser bill up 6.6 per cent despite overall levy reduction

15 April 2014 8:45 am | By Michael Glenister

Advisers to pay £112m for 2014/15.

Comments (4)

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Court rejects unauthorised land bank's appeal

14 April 2014 10:41 am | By Michael Berry

Asset Land LI sold plots of land as investments without FCA approval and has been ordered to repay £21m.

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Opinion

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Linda Smith: Understanding the FCA's independence definition

15 April 2014

There is still confusion over what is and what is not independent.

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IMA: Axing double stamp duty is long overdue

14 April 2014

The abolition of double stamp duty for UK-domiciled funds is long overdue and will help level the playing field.

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Martin Bamford: A history of misselling does not help insurers

11 April 2014

The insurance sector has taken something of a hammering during the last few weeks.

Comments (1)

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Chris Gilchrist: Zombies win, clients and advisers lose

11 April 2014

The furore over the FCA review of zombie fund charges is a red herring, the real issues is the appalling standards of service.

Comments (3)

Nick Bamford MM 700

Nick Bamford: Why aren't advisers explaining their charges properly?

10 April 2014

If an adviser cannot answer client questions on costs, perhaps they are in the wrong job.

Comments (18)

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Tim May: Priips shows the problem with EU rule making

10 April 2014

Too much of this was agreed right at the finish, when the process is at its most opaque.

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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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 (3)

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Compliance tip of the week: Needs and wishes are not the same

3 April 2014

Advisers have to be prepared to advise clients to follow a course of action they do not want to

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One year on from the RDR, demand for investment advice is strong

27 March 2014

The RDR has had relatively little impact on the demand for advice and despite the greater regulatory burden, advisers look set to benefit from more sustainable income

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Why are lenders so reluctant to lend to older people?

13 March 2014 | By Devraj Ray

Mortgage brokers warn about the “failings of the mortgage market” in providing solutions for borrowers in later life

Comments (3)

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