Regulation

        Personal Touch profits rise; incurs additional £154k in claims costs

        Professional Adviser | 31 Jul 2014 | 07:28

        Restricted network Personal Touch Financial Services has incurred an additional £154,000 in costs relating to claims brought against the firm in 2013, its accounts show.

        max-wright
        fca-logo

        FCA promotes former IFA David Geale to policy director

        The Financial Conduct Authority (FCA) has promoted its former head of savings, investments and distribution policy, David Geale, to director of policy.

        Professional Adviser | 30 Jul 2014 | 20:52
        city of london

        Regulators take aim at bankers' bonuses with clawback powers

        The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have proposed new rules that would seek to change how bankers behave and are paid.

        Professional Adviser | 30 Jul 2014 | 14:00

    Other Regulation articles

      uk-clock

      Derek Bradley: Simplified advice can't work without simplified regulation

      We can forget simplified advice without simplified regulation, writes Derek Bradley

      Professional Adviser | 30 Jul 2014 | 13:54
      keydata

      First major Keydata lawsuit filed against US brokerage

      The first significant lawsuit from the Keydata scandal has been issued against US-based brokerage CRT Capital, according to the Financial Times.

      Professional Adviser | 30 Jul 2014 | 07:52
      FSCS

      FSCS 'expects' more IFA failures from SIPP investigations

      The Financial Services Compensation Scheme (FSCS) said it expects the number of advisory businesses declared in default as a result of its investigations into self-invested personal pension (SIPP) advice to rise above the current four.

      Professional Adviser | 29 Jul 2014 | 09:00
      donaldson-fraser

      DFMs under pressure over portfolio charges as FCA mulls review

      Discretionary fund managers (DFMs) are facing growing pressures to standardise managed portfolio fees as the Financial Conduct Authority (FCA) considers warning advisers against using any service where costs are not clear.

      Professional Adviser | 29 Jul 2014 | 08:49
      rory-percival-new

      Run the money or outsource? Last chance early-bird discounts for first FE Investment Summit

      With the FCA's multiple spotlights converging on investment suitability, advisers are being invited to have their questions answered...

      Professional Adviser | 28 Jul 2014 | 15:53
      lloyds77

      Regulators hit Lloyds group with £218m fine for fees and rates manipulation

      Lloyds Banking Group has been fined a total of £218m by UK and US authorities for a series of failings, including manipulating fees it owed to the Bank of England (BoE) for a taxpayer-backed scheme designed to support the UK’s banks during the financial crisis.

      Professional Adviser | 28 Jul 2014 | 14:01
      Three businesspeople meet and shake hands

      Consolidator AFH buys IFA to expand into Scottish market

      AFH has bought out Edinburgh-based Finlay Gow & Company for £657,000 to enter the Scottish advice market.

      Professional Adviser | 28 Jul 2014 | 07:54
      Team

      Why paraplanners are more important than ever

      The radical changes announced in the Budget serve as a timely reminder of just how crucial the paraplanner's role is in supporting advisers. IRESS' Sophie Hall explains

      Professional Adviser | 25 Jul 2014 | 15:58
      lisle-mark

      CDCs: From Holland, with love...

      Rowanmoor's Mark Lisle examines whether collective defined contribution schemes would be a worthwhile addition to the UK’s pensions landscape...

      Professional Adviser | 25 Jul 2014 | 15:57
      paraplanner-image

      Perfect harmony? The complicated adviser/paraplanner relationship

      Bradbury Hamilton’s Sheriar Bradbury asks if ever increasing calls for paraplanner qualifications are complicating their working relationship with advisers...

      Professional Adviser | 25 Jul 2014 | 15:55
      fca-logo

      FCA warns over corporate bond fund risks

      The Financial Conduct Authority (FCA) has issued a fresh warning to consumers about the risks of investing in corporate bond funds.

      Professional Adviser | 25 Jul 2014 | 14:07
      complaint

      Long-stop petition attracts 7,000 signatures but misses target

      An online petition calling on the government to remove the financial ombudsman's right to consider client claims without any time restriction has ended 3,000 signatures short of target.

      Professional Adviser | 25 Jul 2014 | 13:47
      man-shouting88

      'I felt I was hanging in the breeze': Ex-Financial Ltd IFA speaks out

      A former appointed representative of Financial Ltd, the network banned this week from recruiting new advisers in a landmark ruling, has spoken exclusively to Professional Adviser about what he found during his time at the firm...

      Professional Adviser | 25 Jul 2014 | 07:51
      Alan Lakey

      'It was worth a try': Alan Lakey steps down from APFA council

      Highclere Financial Services senior partner Alan Lakey has left his position as a member of the Association of Professional Financial Advisers (APFA) council as he felt his voice "did not get heard".

      Professional Adviser | 25 Jul 2014 | 07:29
      one-stop

      Best of the best? Why ‘one-stop’ advice shops are not the silver bullet

      A ‘one-stop shop’ for financial advice isn’t the catch-all solution, argues Beaufort Group chairman Simon Goldthorpe

      Professional Adviser | 24 Jul 2014 | 15:17
      power-to-the-people

      FCA for a day: What advisers would do if they had the power (part I)

      Professional Adviser asked seven advisers one question: If you had the means to change one thing about how the industry is regulated, what would you do? (part one of two...)

      Professional Adviser | 24 Jul 2014 | 10:03
      power-to-the-people

      FCA for a day: What advisers would do if they had the power (part two)

      Professional Adviser asked seven advisers one question: If you had the means to change one thing about how the industry is regulated, what would you do? (part two of two)

      Professional Adviser | 23 Jul 2014 | 18:34

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