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News
FCA seeks to ban and fine non-exec £154k over conflicts of interest
Regulator wants to ban Angela Burns for failing to disclose conflicts of interest at two mutual societies.
AIC: Rebate ban puts investors in the driving seat
The FCA’s decision to ban platform rebates will benefit the end investor and allow investment trusts to better compete, according to AIC director general Ian Sayers.
FCA fines JP Morgan International Bank £3.1m for wealth management failings
Company has been fined for systems and controls failings relationg to its retail investment advice and portfolio investment services.
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Treasury questions redress methods under independent Scotland
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MPs back Arch cru legal battle
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Money Advice Service calls for evidence to help form new five-year strategy
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Treasury warns independent Scotland could push up regulatory costs
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TPR to spend £30m on auto-enrolment regulation this year
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FCA under pressure to rethink Sipp cap-ad plans
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Advisers and investors in line for Keydata payout
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FCA under pressure to re-think Sipp cap-ad plans
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TPR to spend £30m on auto-enrolment regulation this year
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Ex-Tenet director to develop ‘long-stop’ PI cover
Analysis
The death of bank advice: more than just the RDR to blame?
The RDR has been blamed for the demise of bancassurance but are the banks out of the mass market for good?
How behavioural economics can keep on the right side of the FCA
The FCA is keen to see behavioural economics adopted by financial services firms and there are many ways that financial advisers can use to
Regulatory costs will lead to adviser backlash
Deloitte lead RDR partner Andrew Power gives his view on the RDR and outlines what successful IFA practices will look like. Interview by Cherry Reynard.
Cost focus misses the point
The RDR is leading to advice being withdrawn for ordinary members of the public
Nic Cicutti: Advisers and fund managers need to tackle their charges
Financial advisers and asset managers should use the cushion of rising equity markets to get their RDR charging structures sorted out.
Nic Cicutti: Advisers must take responsibility for products
Allowing advisers to pass the buck to providers would not do the industry any favours.
Robert Reid: The demise of consultancy charges leave an obvious gap
Consultancy charging always looked badly designed but there has been a lack of contingency planning to put an alternative in place.
Kim North: Platforms will have to fill the advice gap
Platforms providing low-cost simplified advice are the only way to fill the gap left by the death of bancassurance.
Nic Cicutti: The attraction of simple products
The AMI is the latest organisation to have come round to the idea that simple products, sold with or without advice, might be the way forward for financial services.
Alan Lakey: The perils of relying on execution-only
The FCA says you can’t always rely on disclaimers when transacting execution only business but it appears sometimes you can’t rely on written documentation either.
