Regulation

        APFA profits take £90k hit as provider money gives way to member fees

        Professional Adviser | 23 Oct 2014 | 07:41

        The Association of Professional Financial Advisers (APFA) has reported a profit for the second time since 2010, although surplus figures dipped by almost £90,000.

        hannant-chris
        Warning sign against cloud backdrop

        NMIs: The ongoing sting in the tail of independence

        Non-mainstream investments will be beyond the pale for the majority of clients but the FCA continues to scrutinise advisers' understanding of them. Aileen Lynch reviews the rules...

        Professional Adviser | 22 Oct 2014 | 10:36
        pensioner756857

        Changes to death benefits: What does it mean for clients?

        As the dust settles on the Chancellor's latest big pensions announcement, Mark Pearson reflects on what impact the proposals may have on various client groups...

        Professional Adviser | 22 Oct 2014 | 10:30

    Other Regulation articles

      spotlight-pa

      Police investigate former Sense IFA for 'running fraudulent scheme'

      A former appointed representative of the Sense Network is being investigated by police for allegedly running an unauthorised deposit taking scheme, Police Scotland has confirmed.

      Professional Adviser | 22 Oct 2014 | 09:59
      abraham

      FCA sets out to bust myths about its rules

      Abraham Okusanya paid a visit to an FCA compliance seminar and discovered a regulator keen to banish, once and for all, some of the misconceptions around its rules...

      Professional Adviser | 22 Oct 2014 | 07:40
      Gears of War skull

      FSCP warns of emergence of 'toxic' products in retirement space

      Chair of the Financial Services Consumer Panel (FSCP) Sue Lewis has told MPs she expects the emergence of "a lot of toxic products" in the retirement sector following the announcement of new pension freedoms in the Budget.

      Professional Adviser | 22 Oct 2014 | 07:37
      keith-richards-tenet

      FCA roadshow presentations 'rated 9 out of 10' by advisers

      Advisers have rated Financial Conduct Authority (FCA) presentations above 90% for the second quarter in a row, according to a survey by the Personal Finance Society (PFS).

      Professional Adviser | 21 Oct 2014 | 15:05
      House of Parliament at night on River Thames

      FCA: Guidance should help people ask questions, not give answers

      The Financial Conduct Authority (FCA) expects the guidance guarantee to “help people understand the questions they should be asking”, not offer choices for them, director of policy David Geale has told MPs.

      Professional Adviser | 21 Oct 2014 | 11:05
      budden-james2

      D2C platforms lead post-RDR revival for investment trusts

      Investors using direct to consumer platforms are now among the largest shareholders in investment trusts, as a post-Retail Distribution Review (RDR) revival for the sector gets underway.

      Professional Adviser | 21 Oct 2014 | 07:44
      complaints66

      FOS reports rise in annuity and income drawdown complaints

      Complaints to the Financial Ombudsman Service (FOS) about annuities and income drawdown products have seen an uptick the since the March Budget, new figures have shown.

      Professional Adviser | 21 Oct 2014 | 07:30
      osborne4

      Govt U-turns on MAS role in guidance guarantee

      The retirement guidance guarantee will not be delivered by the Money Advice Service (MAS), the Treasury has said, in a reversal of the government's previous announcement.

      Professional Adviser | 19 Oct 2014 | 18:04
      shackles-corbis

      'Keep clients happy? We're too busy pleasing FCA'

      The message from the FCA is clear: please your clients and you'll please us. Well, advisers have got a bone to pick with that...

      Professional Adviser | 17 Oct 2014 | 15:43
      scales of justice

      The court case we all thought was a victory for the client

      Towry versus Raymond James was somewhat of a watershed moment in adviser-client relationships, but who really benefited from the verdict? Regulatory lawyer Alex Denny takes a closer look...

      Professional Adviser | 17 Oct 2014 | 13:24
      mark-polson

      Mark Polson: The (real) secret to picking platforms

      Why Mark Polson recommends a visit to thetrainline.com if you're really serious about picking a platform all parties will be happy with...

      Professional Adviser | 17 Oct 2014 | 10:40
      HSBC

      HSBC to review pension transfers following FOS trail ruling

      HSBC is to review historical pension transfer cases to see if it is earning trail income for ongoing advice it is not delivering.

      Professional Adviser | 16 Oct 2014 | 13:35
      rdr-blackboard

      Solicitors and accountants 'still don't know' what RDR means - Prudential

      The industry should not underestimate the lack of understanding among professional connection partners of the Retail Distribution Review (RDR) and its impact on advice firms, a Prudential business consultancy manager has warned.

      Professional Adviser | 16 Oct 2014 | 12:42
      confused-worker

      SIFA: Regulator ‘completely messed up’ independence definition

      The regulator has "completely messed up the definition of independence", said professional connections support organisation SIFA, as it claimed 95% of solicitors would still chose IFAs over restricted advisers.

      Professional Adviser | 16 Oct 2014 | 12:33
      shutterstock-154221011

      SimplyBiz launches training and competence scheme

      SimplyBiz has launched a scheme to help heads of advice firms meet the regulatory requirements around competence and training of their advisers.

      Professional Adviser | 16 Oct 2014 | 10:50
      caroline-wayman

      FOS keen to shed anti-adviser reputation, says chief Wayman

      The Financial Ombudsman Service (FOS) is determined to shed its reputation as an anti-adviser body, its chief executive has said.

      Professional Adviser | 16 Oct 2014 | 08:05
      magnify-money

      Failed network's liquidators chase ARs for millions in FSCS payouts

      The former appointed representatives (ARs) of failed network Alpha 2 Omega (A2O) are facing multi-million pound legal claims as the Financial Services Compensation Scheme (FSCS) tries to claw back the money it paid to mis-sold investors.

      Professional Adviser | 15 Oct 2014 | 12:35

Markets

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