NMIs: The ongoing sting in the tail of independence

        Professional Adviser | 22 Oct 2014 | 10:36

        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...

        Warning sign against cloud backdrop

        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

    Other RDR articles


      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
      Zurich logo

      Zurich recovers from bond business drop

      Insurer Zurich UK Life has recovered after taking a hit in its bond business last year, posting a 10% rise in operating profits in the first half of the year.

      Professional Adviser | 07 Aug 2014 | 12:20

      Small firms praise 'collaborative' FCA

      Small firms have seen improvements in the way the Financial Conduct Authority (FCA) communicates with them and said the regulator’s approach has become “increasingly proactive, proportionate and predictable”, according to a far reaching survey.

      Professional Adviser | 06 Aug 2014 | 08:18



    Do you agree with Steve Webb's proposal that those who have purchased annuities should have the opportunity to unwind them for a capital sum?