Regulation

Regulation

FCA admits not holding central record of fund suspensions - reports

The Financial Conduct Authority (FCA) has told the FT that it does not keep a record of investment fund suspensions.

clock 20 January 2020 • 1 min read

Regulation

Close Asset Management to compensate client for unwanted ongoing advice

Client invested £25,000 through DFM service

clock 16 January 2020 • 2 min read

Regulation

Rising SIPP claims push FSCS levy to £635m

SIPP claims up 114% year on year

clock 16 January 2020 • 2 min read

Regulation

Chris Davies: Why adviser HR strategies just became all-important

SM&CR, compliance and HR

clock 15 January 2020 • 3 min read

Investment

UCIS land banking victims to share £2.5m

FCA in High Court victory

clock 14 January 2020 • 1 min read

Your profession

Regulatory resolutions and a 'SIPP on the side'… It's The Pro Adviser Podcast

It’s The Pro Adviser Podcast

clock 10 January 2020 • 1 min read

Your profession

Welsh advice firm enters administration after raft of SIPP complaints

14 upheld FOS decisions

clock 09 January 2020 • 1 min read

Regulation

FCA hones in on 90 most active firms in DB transfer market

'Stopped' 24 firms in sector

clock 08 January 2020 • 1 min read

Regulation

FCA and BoE ramp-up data credentials to 'transform' UK regulation

Should reduce reporting cost burden

clock 08 January 2020 • 3 min read

Regulation

Birmingham adviser firm goes into default following store pods SIPP advice

Entered administration 30 December

clock 06 January 2020 • 1 min read