Professional Adviser editor Scott Sinclair welcomes this apparently pro-advice regulator, but argues it still doesn't quite get it...
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.
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...
Other Regulation articles
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.
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...
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.
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.
A paper commissioned by the Financial Conduct Authority (FCA) has found ‘problems at every stage’ in the way firms deal with vulnerable consumers.
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.
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.
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.
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...
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.
Advisers should avoid using suitability reports pre-filled with templated objectives, Financial Conduct Authority (FCA) technical specialist Rory Percival has said.
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?
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.
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.
Most read articles
Most commented articles
Job of the week