The Chartered Institute for Securities and Investment has warned that it could take legal action against advisers giving false qualifications on IFA directories. The CISI, which merged with the Institute of Financial Planning last year and grants the Certified Financial Planner designation, has said today that it could not only expel advisers from the CISI if […]
NS&I is looking to improve its relationships with advisers as it plans a raft of measures to improve how easy it is for IFAs to see their clients’ investments with the state-owned savings bank. In response to adviser frustrations that they cannot easily access valuations, maturity dates or other information on client investments with NS&I, […]
Contingent charging is being thrust into the spotlight again as clients continue to pay for defined benefit pension transfers, but an outright ban does not look imminent. The FCA has long warned charges that depend on a particular outcome – ‘contingent’ fees – are a higher risk for IFAs. They may not affect the outcome […]
The International Organization of Securities Commissions is to expand its probe into the ever-growing ETF industry as systemic-risk fears mount. The Madrid-based regulator launched an investigation earlier this year looking at liquidity risks for mutual funds and index-linked funds, such as ETFs. Early next year the organisation is expected to discuss its recommendations to promote […]
The introduction of ground-breaking pension freedoms in April 2015 has created some uncertainty for employees and employers alike, and they are looking for help. With further changed announced in the summer Budget, employees really need help to understand how the changes affect them.
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