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Stephen Gazard SBG MD 700
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Stephen Gazard: Advisers are failing on DFM due diligence

As financial advisers continue to adapt to life post-RDR, one of the big trends we are seeing is the increased use of third parties such as discretionary fund managers to manage clients’ investments. This makes business sense as it frees advisers up to focus on other areas, such as guiding clients towards their financial aspirations. […]

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Pru ordered to pay out after sending retirement pack four years late

Prudential must compensate a customer it forget to send a retirement pack to, resulting in four years of missed annuity payments. The customer held a Prudential deferred annuity relating to his previous employer’s pension scheme. Pru was meant to send him a retirement pack three months before his retirement date in 2011. However, when the […]

FCA issues adviser warning on introducers

The FCA has warned advisers on the risks of authorised firms taking business from unauthorised introducers. In the alert, published today, the FCA says it is concerned at the increasing number of cases where an introducer has had an inappropriate influence on how the authorised advice firm works. It is also concerned by authorised firms outsourcing […]

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