Regulation

Advisers' investment processes: A video debate

Regulatory applications and notifications just got simpler...

Advisers respond to FCA call for 'short' suitability letters

'The RDR is only partially working': The world according to the IFP chief

An IFA has been ordered to repay a £7,400 upfront fee it received from a client who subsequently felt its recommendations were inappropriate, following a final decision from the ombudsman.

Three investments in off-plan property firm Arck totalling £45,000 were too high risk and complex for a client, the Financial Ombudsman Service (FOS) has ruled, despite the adviser's claims he had previously invested in similar schemes.

Simplified advice: How simple should your new model be?

Some wealth managers are unclear and inconsistent in their communication with clients regarding in-house fund ranges, a Financial Conduct Authority (FCA) review has found.

‘Why oh why would Aviva want to takeover Friends?' Industry reacts to deal talk

The Institute of Financial Planning (IFP) is in discussions with the regulator about drawing up a definitive list of possible conflict of interest scenarios that crop up during the advice and planning process.