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Why I went restricted: Three advisers share their stories

Some advisers are welded to independence but for others restricted status makes more sense. Three restricted advice firms share their experiences  The one-man band  Lowland Financial managing director Graeme Mitchell became restricted after he was advised that a one-man band would not be able to demonstrate true independence after the Retail Distribution Review. “I took compliance advise and spoke to the FCA asking how feasible is it for a one-man band to demonstrate […]

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FCA opening more cases than ever before

The FCA had more than 500 cases open at the start of April, which is nearly 100 more than the same time last year. According to a Financial Times report, the regulator had a record 504 investigations open as of 1 April, compared with 410 the year before. Of that caseload, 85 cases are looking […]

Who will battle it out to buy platform tech firm FNZ?

The advised platform market has seen significant change in company ownership in recent years, either through acquisitions or businesses opting to float on the stock exchange. Now the spotlight is on adviser platform technology firms, with speculation currently focused on Edinburgh-headquartered FNZ. A Sky News report last month said FNZ’s two private equity backers General […]

Europe: Domestic backdrop & China impact

By Rob Burnett, Head of European Equities In recent weeks equities have been buffeted by two shocks occurring at the same time: China’s devaluation of the renminbi and the prospect of the US Federal Reserve (Fed) raising interest rates. The market is not comfortable with the Fed raising rates at the same time that China […]

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