Regulation

The Financial Ombudsman Service (FOS) has ruled a financial adviser did not pressurise an investor to buy 600 company shares after listening to recordings of their conversations.

The Financial Conduct Authority (FCA) is seeking examples of occasions the industry suspects it may have applied its rules after the fact with the benefit of hindsight.

Advisory and wrap business Raymond James Investment Services has consolidated its return to profit, generating almost £235,000 in 2013.

The chair of the Financial Services Consumer Panel (FSCP) has offered harsh criticism of firms' efforts to improve how they deal with clients, saying she doesn't believe most have embraced the idea of treating customers fairly.

Product provider Aegon has distanced itself from a view attributed to its head of marketing that advisers have been "disintermediated" and that its future lies in direct relationships with consumers.

The scale of commissions taken by HSBC bank advisers for one-off pension transfer work has been revealed in a judgement delivered by the Financial Ombudsman Service (FOS).

United we stand: Why IFAs need to shout louder

A lawyer who spent six years in the financial regulator's enforcement team has expressed doubts over his former employer's product promotions rules.

You can’t put the (social media) genie back in the bottle

Another Keydata adviser has been declared in default by the Financial Services Compensation scheme (FSCS), as it published a new list of 28 advice firms unable to meet claims against them.