Regulation

Financial Conduct Authority (FCA) technical specialist Rory Percival has denied there are "significant" differences in what the regulator thinks is adequate due diligence undertaken by firms and how the ombudsman finds in dispute cases.

Fined Chase de Vere's three big mistakes

The Financial Conduct Authority's (FCA) thematic review into due diligence practices will focus on advisers' role in the process, not that of platforms, technical specialist Rory Percival has said.

The Financial Conduct Authority (FCA) has fined Chase de Vere Independent Financial Advisers £560,000 for failures surrounding the sale of Keydata products.

The Financial Conduct Authority (FCA) is considering a number of recommendations on how financial services firms can improve the way they handle complaints, including removing a rule stating that not all gripes must be reported to it.

Are advisers being forced to go above and beyond FCA requirements?

Killjoy? Why the FCA’s inducement crackdown is going too far

How to manage sequencing risk in a retirement portfolio

The Financial Conduct Authority (FCA) was born in the aftermath of a crisis, so that is all it knows, but it has laid the groundwork for making markets work well again, its chairman John-Griffith Jones is expected to say in a speech on Thursday.

Poor advice claims that have cost restricted national adviser Origen at least £3m in reviews and redress - and pushed it further into the red this year - are the fault of advisers who have exited the firm, not the current team, business development director...