The Treasury select committee is taking evidence looking at the responsiveness of the FSA to the needs of consumers and progress in relation to its Better Regulation Action Plan as part of its regular scrutiny of the regulator.
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PPI problem could be tip of iceberg
Having heard continuous reassurances from mortgage industry trade bodies that payment protection insurance is not a problem for mortgage intermediaries, I found it ironic that the first penalty handed out by the FSA in relation to this misselling scandal should be to exactly such a firm. Furthermore, who is to say that Regency Mortgage Corporation’s […]
‘Most IFAs should stick to mortgages and GI’
Prestbury chief says economics of being independent do not stack up for 70% of advisers
Aegon Scottish Equitable – Group Self-Invested Personal Pension Plan
Aegon Scottish Equitable
Group Self-Invested Personal Pension Plan
Mystery shocker
Advice: Compliance consultant Adam Samuel says the FSA’s mystery-shopping results underline the fundamental importance of asking the full range of questions for a fact-find and carefully considering the answers to fit the pieces together to make an accurate assessment of understanding clients’ attitudes to risk before giving investment advice
What do you understand by Factor Investing?
Nicolas Just, Head of Smart Beta at Seeyond, says the most important point to recognise about the Seeyond approach to investing is that it sees volatility as an asset class and, with its factor-plus products, it aims to build portfolios that will outperform an index over one year/achieve outperformance as frequently as it can.
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Almary Green eyes merger with Norwich IFA
Almary Green, the advice firm led by industry veteran Carl Lamb, is in sale talks with Smith and Pinching Financial Services, Money Marketing understands. One source tells Money Marketing Almary Green staff have visited the Smith and Pinching offices, and that there have been discussions around a merged firm being floated on AIM. The Norwich-based […]
Lions, bees, bulls and bears: The Wells Street Journal
A weekly account of the curious goings-on in the world of financial services Locked out While WSJ correspondents were kept very busy at Money Marketing Interactive in Harrogate last week, there was still plenty of time spent in the bar with industry friends. So came about the story of Aegon director of new business, Martin […]
FCA eyes 40 firms in adviser recruitment and training probe
The FCA is analysing information from 40 firms about their adviser recruitment processes and what quality checks are in place on the advice they give. Earlier this year, Money Marketing revealed that the FCA sent letters to a sample of firms asking about training, competence and hiring records for staff. A Freedom of Information Act request […]