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Regulation

News

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Advisers hit by soaring costs as PI premiums hiked by 50%

23 April 2014 3:18 pm | By Tessa Norman

Advisers facing premium hikes and onerous data requests from insurers.

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Ex-Lehman Brothers director joins FCA as senior adviser

23 April 2014 9:55 am | By Tessa Norman

Regulator appoints two senior advisers

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RBS fined for illegal trades in emerging market rates business

23 April 2014 8:40 am | By Pamela Morris

RBS faces a £460,000 fine by Hong Kong regulators over a series of illegal trades committed by one of its traders in 2011.

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Vince Cable warns FTSE firms over 'ridiculous' pay awards

23 April 2014 8:40 am | By Gary Jackson

Business secretary Vince Cable has written to the chairmen of FTSE 100 companies’ remuneration committees to issue a warning that the Government will intervene unless they do more to curb executives’ soaring pay increases.

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Opinion

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New platform world appears anything but clean and simple

22 April 2014 | By Paul McMillan

Huge discrepancies highlight the “utterly confusing world which consumers have been ushered into”.

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Robert Sinclair: Damage from inducements crackdown should not be underestimated

22 April 2014

The FCA’s inducement rules risk making product providers withdraw a lot of their training support and make it harder for providers and distributors to work together to make a better industry.

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Robert Reid: Solving the independence mess

22 April 2014

This could end up as a judicial review as some major players seek to protect their status

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Phil Young: Crunching the numbers on adviser profits

17 April 2014

Higher revenues are tied to a percentage of assets charging structure.

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Alan Lakey: The fatal flaws of pandering to consumers

17 April 2014

Regulators and politicians trying to play to consumer interests just end up making access to financial services worse

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Nic Cicutti: Advisers seem unable to provide basic info on costs

17 April 2014

Advisers should be aspiring to deliver the best possible clarity on fees

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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.

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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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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 (4)

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Compliance tip of the week: Research your products

16 April 2014

Research products and their associated risks. Do not allow product providers to sell to you. Many of the major misselling incidents of recent years had at their heart a very successful salesman flogging his product to IFAs. All too often, the adviser had no idea what was in the product or the risks to which anyone holding it was exposed.

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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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