Investment trusts: 'Who are the dinosaurs now?'

        Professional Adviser | 30 Oct 2014 | 14:42

        James Budden has a message for the investment trust naysayers…


        FCA ends probe into Partnership distribution deal with adviser

        The Financial Conduct Authority (FCA) has discontinued an investigation into whether a distribution deal between Partnership Assurance and an advisory firm contravened its rules on incentives, according to the provider.

        Professional Adviser | 27 Oct 2014 | 07:29
        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

    Other RDR articles


      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

      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

      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

      Advisers scoff as FCA backtracks on IFA referrals

      The regulator is finally discovering what goes on at the coalface of advisory firms and adapting accordingly, for the benefit of advisers and clients...

      Professional Adviser | 02 Oct 2014 | 10:38
      David Thomson

      Regulation round-up: Mis-selling, specialist referrals and financial promotions

      In his latest monthly instalment, the CII's David Thomson provides an update on the key regulatory events of the past few weeks...

      Professional Adviser | 02 Oct 2014 | 10:26

      'A set of geriatric gums': Ex-APFA council member Alan Lakey on 15 years of struggle

      After years shouting from the sidelines, industry veteran Alan Lakey tried to shake up the Association of Professional Financial Advisers (APFA) from the inside. On the body's 15 year anniversary, he details his struggle...

      Professional Adviser | 18 Sep 2014 | 10:34

      Three's a charm: Why firms are failing on financial promotions

      Rebecca Prestage takes a look at the key points to come from the regulator's most significant announcements on the topic and offers her tips on how to ensure the rules are adhered to...

      Professional Adviser | 17 Sep 2014 | 09:12

      We will survive trail switch-off, declare 'stoic' advisers

      The vast majority of advisers have faith they will adapt successfully to a world without trail commission, but one in ten say it could mean they cease trading, according to a survey.

      Professional Adviser | 12 Sep 2014 | 13:17

      FSCP: RDR side-steppers obstructing trust campaign

      Evidence of advisory firms and providers avoiding their obligations following the Retail Distribution Review (RDR) is harming the ongoing campaign to rebuild public trust in financial services, according to the Financial Services Consumer Panel (FSCP).

      Professional Adviser | 11 Sep 2014 | 11:43

      IMA: Scottish groups running 11% of fund industry assets

      The Investment Management Association (IMA) has highlighted the scale of regulatory change that may be required if Scotland votes for independence, after revealing 11% of total fund industry assets are run by Scottish-based groups.

      Professional Adviser | 10 Sep 2014 | 08:00

      Hargreaves awaits 'guidance' clarity as assets near £47bn

      Hargreaves Lansdown has reported a record pre-tax profit of £209.8m for the year to 30 June after it weathered the impact of changes to its charging model and falling returns on cash.

      Professional Adviser | 03 Sep 2014 | 08:13

      PFS reports post-RDR membership surge

      Membership of the Personal Finance Society (PFS) has reached more than 35,000, with more than 1,000 people joining in the past year.

      Professional Adviser | 26 Aug 2014 | 07:33

      Raymond James cements return to profit

      Advisory and wrap business Raymond James Investment Services has consolidated its return to profit, generating almost £235,000 in 2013.

      Professional Adviser | 21 Aug 2014 | 10:13

      Aegon distances itself from executive's 'view' on advisers

      Product provider Aegon has distanced itself from a view attributed to its head of marketing that advisers have been "disintermediated" and that its future lies in direct relationships with consumers.

      Professional Adviser | 19 Aug 2014 | 09:56

      FCA warns firms on 'self-defeating' transactions

      The Financial Conduct Authority (FCA) is reminding advisory businesses to beware "self-defeating transactions" when totting up the total charges clients are being asked to pay.

      Professional Adviser | 14 Aug 2014 | 09:40

      Consumer confidence in financial services ‘remains low post-RDR’ - adviser poll

      Almost half of advisers (47%) do not think consumer confidence in financial services has risen since the introduction of the Retail Distribution Review (RDR), according to Cofunds research.

      Professional Adviser | 13 Aug 2014 | 11:14
      David Thomson

      Regulation round-up: Disclosure, simplified advice and payday lending

      In his latest monthly instalment, the CII's David Thomson provides an update on the key regulatory events of the past few weeks...

      Professional Adviser | 08 Aug 2014 | 07:16



    Will the guidance guarantee be of value to people with small pension pots?