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Regulation

FCA sets out plans to streamline legal work in single department

Regulation

FCA sets out plans to streamline legal work in single department

Headed up by general counsel Stephen Braviner-Roman

clock 23 March 2023 • 1 min read
FCA restricts advice business after engagement failures

Regulation

FCA restricts advice business after engagement failures

Independently East bank accounts frozen and permissions cancelled

clock 23 March 2023 • 2 min read
TPO orders AJ Bell to compensate client after £10k transfer error

Regulation

TPO orders AJ Bell to compensate client after £10k transfer error

Client had requested a full cash transfer from Nucleus to AJ Bell

clock 22 March 2023 • 2 min read
Treasury committed to imminent SMCR call for evidence

Regulation

Treasury committed to imminent SMCR call for evidence

Alongside a separate joint discussion paper by FCA/PRA

clock 21 March 2023 • 2 min read
FSCS declares SIPP provider in default after lengthy investigation

Regulation

FSCS declares SIPP provider in default after lengthy investigation

Involved overseas IFA recommending high-risk SIPP transfers

clock 20 March 2023 • 1 min read
Call to take advised business out of the post-PRIIPs product regime

Regulation

Call to take advised business out of the post-PRIIPs product regime

PIMFA's six-point plan to reform post-PRIIPs disclosure requirements

clock 07 March 2023 • 2 min read
Does financial services face 2023 'regulatory aftershock'?

Regulation

Does financial services face 2023 'regulatory aftershock'?

'An almost never-ending smorgasbord of deadlines'

clock 07 March 2023 • 5 min read
FCA warns two people over 'reckless' DB transfer advice

Regulation

FCA warns two people over 'reckless' DB transfer advice

Transfers happened between October 2015 and July 2016

clock 07 March 2023 • 2 min read
Why the FCA should focus on halting fraud not reviewing advice

Regulation

Why the FCA should focus on halting fraud not reviewing advice

Education is the key to stamping out financial scams

clock 07 March 2023 • 3 min read
FOS consults on changes to business-specific complaints data

Regulation

FOS consults on changes to business-specific complaints data

Proposals designed to incentivise firms to settle proactively

clock 06 March 2023 • 2 min read
123
Most read
01

Novia founder co-lauches new firm focussed on low-value clients

28 March 2023 • 1 min read
02

Women in Financial Advice Awards 2023: Nominations open!

28 March 2023 • 1 min read
03

Scottish Widows launches £1.4bn of climate-focused funds

29 March 2023 • 2 min read
04

Advisers and platforms should not ignore Mrs Miggins on value

29 March 2023 • 4 min read
05

Cost pressures on small businesses tops list of adviser concerns

28 March 2023 • 1 min read
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