FOR SUSTAINABLE, PROFITABLE, CLIENT-FOCUSED ADVISER FIRMS
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A financial adviser has been banned and fined £117,330 for mis-selling unregulated collective investment schemes (UCIS).
An adviser has had his application to become an approved person rejected because of his failure to disclose past convictions and a prosecution for mortgage fraud.
Lord Flight has continued his broadsides against the Financial Services Authority (FSA), criticising it for taking a "tough guy, macho" approach to compensate for past failures.
The Financial Services Authority (FSA) has charged a former adviser with six offences relating to investment advice given whilst unauthorised.
Pension pots with proposed 'money safe' guarantees may not be transferred automatically with a worker when they move jobs, a minister has warned.