Better Business

        Investment trusts: 'Who are the dinosaurs now?'

        Professional Adviser | 30 Oct 2014 | 14:42

        James Budden has a message for the investment trust naysayers…

        David Thomson

        Regulation round-up: Pensions taxation, guidance guarantee and party conferences

        In his latest monthly instalment, the CII's David Thomson provides an update on the key regulatory events of the past few weeks...

        Professional Adviser | 30 Oct 2014 | 14:22

        FCA fines Sesame £1.6m for ‘pay-to-play' arrangements

        Sesame, the UK's largest network of financial advisers, has been fined £1.6m by the Financial Conduct Authority (FCA) for setting up a pay-to-play scheme that "undermined the ban on commission payments brought in by the Retail Distribution Review (RDR)".

        Professional Adviser | 30 Oct 2014 | 12:12

    Other Better Business articles


      Sesame angers advisers with past advice crackdown after £6m fine

      Past and present appointed representatives (ARs) of Sesame have expressed their anger at being told advice previously passed by the network as suitable has now been deemed wrong in a widespread review following a £6m fine from the regulator.

      Professional Adviser | 30 Oct 2014 | 11:07

      St James’s Place new business boosted 18% by strong ISA sales

      New business at wealth manager St James’s Place (SJP) was up 18% in the third quarter of the year to £212m as clients took advantage of increased ISA limits, interim results show.

      Professional Adviser | 30 Oct 2014 | 07:51

      Twenty-eight retail platforms join forces to form industry body

      The operators of twenty-eight of the UK's largest investment platforms are forming the UK Platform Group in the aim to more fully represent the industry.

      Professional Adviser | 29 Oct 2014 | 17:33

      Armchair Critic: The destructive dynamic of complexity and regulation

      Transparency is nothing to do with clarity and simplicity, says PA’s Armchair Critic Brendan Llewellyn

      Professional Adviser | 29 Oct 2014 | 13:00

      Yorkshire BS fined £4m for mistreatment of customers in arrears

      The Financial Conduct Authority (FCA) has fined Yorkshire Building Society £4.1m for failings when dealing with its mortgage customers experiencing payment difficulties.

      Professional Adviser | 29 Oct 2014 | 10:35

      FCA proposes restricting sales of mutual society shares

      The Financial Conduct Authority (FCA) is proposing to limit the distribution of mutual society shares to 'sophisticated' or high net worth investors, unless specific requirements have been met.

      Professional Adviser | 29 Oct 2014 | 07:29
      Photo showing a goldfish jumping from a crowded bowl to an empty one

      Stealing ideas from Starbucks (Or why success is no accident)

      Think you'll differentiate yourself on product and service alone? You couldn't be more wrong argues business strategist Royston Guest

      Professional Adviser | 28 Oct 2014 | 13:18

      FCA offers advisers 'informal steer' on simplified advice

      The Financial Conduct Authority (FCA) has offered help to financial advisers who want to build simplified advice models, saying it is prepared to give 'individual guidance' or an 'informal steer' as part of its Project Innovate.

      Professional Adviser | 28 Oct 2014 | 11:12

      Moral money: Investors 'put ethical concerns on par with price'

      Investors are almost as likely to switch providers over ethical concerns as they are for poor customer service or because they can get a better deal elsewhere, research suggests.

      Professional Adviser | 28 Oct 2014 | 10:50

      Mind the trap: The unintended consequences of pensions flexibility

      David Thompson on why he believes that, behind the wealth of opportunity and increased freedom offered by the new pensions legislation, a major risk is lurking...

      Professional Adviser | 27 Oct 2014 | 12:41

      Adviser noticeboard (27-31 Oct)

      Our weekly heads-up on events, people moves and other bits for professional financial advisers...

      Professional Adviser | 27 Oct 2014 | 10:36
      Judge's gavel

      Jailed adviser ordered to return £55k to clients

      A former Positive Solutions adviser has been ordered to repay £55,000 to the clients she stole from.

      Professional Adviser | 27 Oct 2014 | 09:58

      FCA ends probe into Partnership distribution deal with adviser

      The Financial Conduct Authority (FCA) has discontinued an investigation into whether a distribution deal between Partnership Assurance and an advisory firm contravened its rules on incentives, according to the provider.

      Professional Adviser | 27 Oct 2014 | 07:29

      Axa Wealth sales up in Q3 as funds under managment swell 10%

      Retail sales at Axa Wealth were up 3% to £2.5bn in the third quarter with funds under management at the firm swelling by 10% to £27bn.

      Professional Adviser | 24 Oct 2014 | 07:41

      Aberdeen UK Platform Awards raises £30k for Mind

      Attendees of the Aberdeen UK Platform Awards 2014 have been praised for their generosity after a record £30,000 was raised for mental health charity Mind.

      Professional Adviser | 23 Oct 2014 | 16:01

      National advice firm acquires three more IFAs

      National wealth manager Attivo group has acquired three more IFAs as part of its mission to achieve £1bn of funds under management (FUM) by end of 2017.

      Professional Adviser | 23 Oct 2014 | 11:19

      The hunted: Fresh trends in adviser acquisitions

      The adviser acquisition market is booming, according to recent research. Laura Miller takes a closer look at the rush to exit, and those who are happy hunting.

      Professional Adviser | 23 Oct 2014 | 11:04



    Will the guidance guarantee be of value to people with small pension pots?