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Regulation

Adviser to compensate widow after failing to refund advice fees

Regulation

Adviser to compensate widow after failing to refund advice fees

Two years' of fees

clock 19 October 2021 • 2 min read
Incoming regulation: Treasury and FCA working on sustainability rules for advisers

Regulation

Incoming regulation: Treasury and FCA working on sustainability rules for advisers

Green finance paper

clock 19 October 2021 • 3 min read
FCA forwards 950 more DB pension advice customers onto FSCS

Regulation

FCA forwards 950 more DB pension advice customers onto FSCS

Total 3,591 this year

clock 18 October 2021 • 1 min read
FCA fines adviser £116k for 'reckless' pension transfers

Regulation

FCA fines adviser £116k for 'reckless' pension transfers

Hussein agreed to fine

clock 15 October 2021 • 2 min read
FCA chair Charles Randell to step down a year early

People

FCA chair Charles Randell to step down a year early

Exit in spring 2022

clock 15 October 2021 • 2 min read
Ombudsman updates distress and inconvenience compensation guidance

Regulation

Ombudsman updates distress and inconvenience compensation guidance

More detailed guidance, 'fairer' outcome

clock 14 October 2021 • 2 min read
FCA: Stable pensions require 'seamless' regulatory family

Regulation

FCA: Stable pensions require 'seamless' regulatory family

'Working closely with regulators'

clock 14 October 2021 • 4 min read
Integrity IFA ignores clients and ombudsman after unregulated investment complaints

Your profession

Integrity IFA ignores clients and ombudsman after unregulated investment complaints

Advice to invest in unregulated schemes

clock 11 October 2021 • 3 min read
FCA has not rejected a fund application in five years despite quality complaints

Investment

FCA has not rejected a fund application in five years despite quality complaints

Nick Miller has said funds ‘must improve’

clock 07 October 2021 • 1 min read
Ombudsman sides with SJP as client complains of £150k drop during pandemic volatility

Regulation

Ombudsman sides with SJP as client complains of £150k drop during pandemic volatility

£500 awarded for distress

clock 04 October 2021 • 3 min read
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