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CISI threatens legal action against advisers claiming false qualifications

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 […]

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NS&I courts adviser business by improving access

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, […]

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Can contingent charging stand up to criticism?

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 […]

Global regulator to launch probe into ETF systemic risks

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 […]

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