Regulation

As advisers get to grips with the principles-led legislation of TCF Kristen Paech takes a look at the challenges they have to face

Age discrimination legislation caused uncertainty when it was introduced late last year. Faith Dickson looks at the current situation and asks if things have become any clearer

Each month, we ask our industry to answer one big question!

Building societies have been told working towards the FSA's treating customers fairly principles will count for little if they can not assess how effective any changes have been.

Charterhouse Consulting Wealth Management has been fined £122,500 by the Financial Services Authority for carrying out discretionary portfolio management without permission and for various conduct of business failings.

The Association of IFAs has leapt to the defence of smaller firms after an FSA report found a large portion of them to be failing to implement TCF.

The Financial Services Authority has taken action against a Swindon-based IFA over failures in connection with providing pension transfer advice.

It seems there are few in the industry willing to talk about it but a major regulatory deadline passed last Friday: firms' implementation date for the treating customers fairly (TCF) regime.