Regulation

Regulation

Mark Greenwood: Putting the fun in SM&CR functions

In the latest of his articles on the realities of the Senior Managers & Certification Regime (SM&CR), Mark Greenwood looks at the mechanics of changing roles and Senior Manager functions under the new regime now it is in place…

clock 20 December 2019 • 4 min read

Regulation

Move over Bailey: What advisers want from the new FCA head

Advisers want a more responsive regulator

clock 20 December 2019 • 2 min read

Regulation

Quilter caught up in Harlequin pension transfer claim

Invested with Berkeley Burke

clock 18 December 2019 • 2 min read

Regulation

IFA frustrated over FCA's silence after LC&F warning

Sent in 2015

clock 17 December 2019 • 2 min read

Regulation

FSCS to request extra £46m from advisers following pension advice claims

Extra £44m

clock 17 December 2019 • 1 min read

Regulation

FCA fines first CMC as sector regulator

£70,000 fine

clock 17 December 2019 • 2 min read

Regulation

FOS forecasts less pension and investment complaints in 2020/21

More money from levy

clock 16 December 2019 • 1 min read

Regulation

PROD-lems and FOS limits: Regulation in 2019

Regulation reloaded

clock 16 December 2019 • 3 min read

Regulation

FCA accused of aiding scammers through its register

Advisers describe it as a “complete shambles”

clock 16 December 2019 • 2 min read

Regulation

SJP to pay £54,000 compensation to sons of deceased clients

Adviser recommended products before death

clock 12 December 2019 • 2 min read