The Financial Ombudsman Service (FOS) has fended off an increasing number of pension complaints in the first quarter of this year as the number of complaints increased but uphold rates dropped.
The Financial Conduct Authority (FCA) has fined a former senior J.P. Morgan banker £450,000 after he disclosed inside information to contacts.
Other Regulation articles
Clients have always come first at Almary Green, the award-winning IFA firm run by Carl Lamb. But the company’s ethos doesn’t stop there; helping the wider community is also a key part of the firm’s strategy…
It is a question many advisers are facing when considering clients' impending at-retirement choices in the wake of the pension freedoms unveiled at Budget 2014. So what are advisers recommending?
The proposed role of the Money Advice Service (MAS) in delivering financial guidance to thousands of retirees is "concerning", according to Treasury Select Committee (TSC) chairman Andrew Tyrie.
Financial advisers could pay a larger share of the costs for delivering the government's ‘guidance guarantee' than pension providers.
Pensions minister Steve Webb has given the clearest indication yet of the make-up of the government's retirement ‘guidance guarantee', which will include a clear "hand off" to full advice for those who need it.
In Professional Adviser's latest The Hard Questions series, Brendan Llewellyn, director of Adviser Home, interviews Steve Webb.
The prospect of a 'regulatory dividend' for advisory firms - proposed by the Association of Professional Financial Advisers (APFA) - has been all but ruled out by the Financial Conduct Authority (FCA).
Financial Services Compensation Scheme (FSCS) chief executive Mark Neale has said the service "hopes" to be able to publish a full account of what it has clawed back from firms who mis-sold Keydata products next year.
Advisers' hopes for the re-introduction of a long-stop on client complaints have suffered a blow after Financial Conduct Authority (FCA) chief Martin Wheatley suggested the regulator's investigation into the matter may have hit a roadblock.
Yorkshire Bank has threatened advisers who sold failed property investment scheme Arck that it will pursue them for money if their clients make a claim for compensation against the bank.
The Financial Conduct Authority (FCA) has attempted to clear up some of the confusion surrounding the boundaries between various advice models, and clarify what constitutes a 'personal recommendation'.
The Financial Conduct Authority (FCA) has failed to provide clarity and reassurance over the development of simplified advice models in its latest consultation, according to eValue strategy director Bruce Moss.
The Financial Conduct Authority (FCA) has proposed restricting the amount borrowers using payday lenders can be charged in interest and fees, in a move which estimates suggest could cost providers £420m in revenues.
Think you know the full retail investment product distribution landscape?
Most read articles
Most commented articles
Job of the week