Regulation

        This signposting to advice is welcome indeed, but...

        Professional Adviser | 27 Feb 2015 | 14:15

        Professional Adviser editor Scott Sinclair welcomes this apparently pro-advice regulator, but argues it still doesn't quite get it...

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        Towry chief: Independence a possibility after Ashcourt Rowan deal

        Restricted advice group Towry is evaluating its house view on structured products and investment trusts following its acquisition of national IFA Ashcourt Rowan, in a move which could see the combined business registered as independent.

        Professional Adviser | 27 Feb 2015 | 11:03
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        Armchair Critic: Nine safe bets (and a few unsafe) from pensions 'freedom'

        We're only a few weeks away from 6 April and the introduction of most of the pension 'freedoms' announced at Budget 2014. As Brendan Llewellyn writes, there are plenty of 'safe bets' as a result of the changes, but a handful of ambiguities too...

        Professional Adviser | 26 Feb 2015 | 10:37

    Other Regulation articles

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      Lighthouse returns to profit as adviser revenues rise

      Lighthouse Group returned to profit last year with pre-tax gains of £600,000 compared to a £1.6m loss in the previous 12 months, latest results show.

      Professional Adviser | 26 Feb 2015 | 07:44
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      Getting it right: What to include in a compliant client file (part two)

      In the second of a two-part series examining what comprises a compliant client file, Alex Miller delves into the necessarily-granular world or suitability reporting...

      Professional Adviser | 25 Feb 2015 | 11:58
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      APFA calls for official audit of 'unacceptable' FSCS spending

      The Association of Professional Financial Advisers (APFA) has called for an independent audit to be carried out on the way the Financial Services Compensation Scheme (FSCS) funds its projects and recoveries.

      Professional Adviser | 24 Feb 2015 | 15:16
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      Adviser complaint uphold rate markedly below average

      The proportion of complaints against advisory groups found in favour of the consumer is significantly below the average for the sector, the Financial Ombudsman Service's (FOS's) latest data shows.

      Professional Adviser | 24 Feb 2015 | 08:23
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      FCA warns of 'problems at every stage' in dealing with vulnerable consumers

      A paper commissioned by the Financial Conduct Authority (FCA) has found ‘problems at every stage’ in the way firms deal with vulnerable consumers.

      Professional Adviser | 23 Feb 2015 | 11:35
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      Fraudster directors in last minute dispute over £60m UCIS case

      Two firm directors who lost investors about £60m in a scheme the Serious Fraud Office (SFO) branded "an elaborate scam" have had their sentencing postponed following fresh allegations made at the eleventh hour.

      Professional Adviser | 23 Feb 2015 | 07:52
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      Would you do the same? Award winning case study answer #1

      Fresh from the Professional Adviser Awards 2015, we are publishing a handful of some of the best case study answers we received as part of the awards process.

      Professional Adviser | 19 Feb 2015 | 12:52
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      FCA launches first review into investment banking competition

      The Financial Conduct Authority (FCA) is to launch its first review of competition within investment banking, with a view to conduct a similar market study into asset management later in the year.

      Professional Adviser | 19 Feb 2015 | 08:07
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      Probability and the 4% rule: How to ensure your clients retire 'safely'

      All debate about the value financial planners add for clients should have ended the moment the first helped ensure a retiree client wouldn't run out of money before they ran out of time. But doing so isn't a straightforward task, as Abraham Okusanya explains...

      Professional Adviser | 18 Feb 2015 | 14:18
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      Fund managers' pay could surpass investment bankers' by 2016

      A report by think-tank New Financial has suggested fund manager pay may overtake that of investment bankers by 2016, following a sharp rise since the financial crisis.

      Professional Adviser | 17 Feb 2015 | 11:25
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      Savers face 'complaints gap' on pensions guidance

      Retirees will have little comeback if they receive poor guidance outside of the Treasury’s Pension Wise service, lawyers have warned.

      Professional Adviser | 17 Feb 2015 | 08:02
      Ed Balls

      Labour vows tax planning review

      Labour will carry out a comprehensive review of tax planning schemes, including the use of deeds of variation on wills, should the party get to power following the general elections, shadow chancellor Ed Balls has said.

      Professional Adviser | 16 Feb 2015 | 06:59
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      FCA's Percival: Avoid template objectives in suitability reports

      Advisers should avoid using suitability reports pre-filled with templated objectives, Financial Conduct Authority (FCA) technical specialist Rory Percival has said.

      Professional Adviser | 11 Feb 2015 | 10:35
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      Consolidator Attivo Group acquires 200-client IFA

      Adviser firm consolidator Attivo Group has acquired Reading-based IFA Sanderson Financial Consulting for an undisclosed sum - the first of what it hopes will be 12 purchases in 2015.

      Professional Adviser | 10 Feb 2015 | 10:25
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      'Well I guess it worked for SJP': David Ferguson on Standard Life's move into advice

      Standard Life's potentially prescient move to launch an advice proposition can not be judged immediately. But two things intrigue David Ferguson: How will this project be executed, and what is Standard's motivation?

      Professional Adviser | 06 Feb 2015 | 12:31
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      IFA, Goldman Sachs and Lloyds to head FCA's industry lobby panels

      An IFA and the directors of banking giants Goldman Sachs and Lloyds will head up the panels that raise the industry's voice on policy making to the ear of the regulator.

      Professional Adviser | 06 Feb 2015 | 11:24
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      FSCS unveils eight-strong legal panel in £12m contracts

      The Financial Services Compensation Scheme (FSCS) has appointed eight law firms to form a new in-house panel, which it expects to manage the majority of its legal advice and representation.

      Professional Adviser | 05 Feb 2015 | 12:55

Poll

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