Build a constructive culture
An independent advisory business is set to submit its investment portfolios for regular scrutiny after independent tests were carried out on a trio of live client cases.
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Concerns are being raised over the disclosure policies of some specialist investment trusts as investors continue to pile into alternative assets.
The Financial Conduct Authority (FCA) has taken inspiration from an unusual source as it seeks to help advice firms communicate their services and charges clearly - a window sticker that has appeared on all new cars sold in the US since 2008.
A man who enticed dozens of investors to inject millions into a trader's fraudulent scheme has had an appeal against his two-year prison sentence dismissed by the Court of Appeal.
Thousands of miles, hundreds of advisers, one word repeated
'Complaints handling is being scrutinised on a global scale'
State-owned Lloyds Banking Group has been hit with a £117m fine by the Financial Conduct Authority (FCA), the "largest retail fine" it has ever issued.
State benefits and pensions freedom
A victim of convicted fraudster financial adviser Chris Bladen is fighting banking giant HSBC for compensation, alleging the bank failed to recognise he 'forged' signatures on his account.
Financial regulators in the US are warning investors and advisers to beware the limitations of automated investment tools.
Standard Life has become the latest provider to face adviser criticism as some life companies seemingly struggle to deal with pensions changes they claimed they were prepared for.
Advisers should follow a simple three-step process when dealing with 'insistent' clients which will put them in a strong position should any future problems arise, Rory Percival has said.
Remembering pension transfer permissions
What happened when this adviser's unprofitable clients called his pay-or-leave bluff?
Why client-centric TCF culture should be at the heart of every firm
Phoenix Life is reviewing the pricing of the majority of its pension funds after a rounding anomaly in some of its life products was pointed out by a retired IFA.
The regulator's definition of "vulnerable consumer" must include those with gaps in their understanding of financial terms and products to prevent another misselling scandal, a software provider has said.
Clients who buy the same protection products via Sesame could pay vastly different premiums amounting to thousands of pounds more depending on which of the network's two types of adviser they deal with, an investigation by Professional Adviser has revealed....
Are strict covenants unfair on clients?
Risk profiling software provider FinaMetrica has launched a shorter version of its risk tolerance test for advised clients with ‘single goal' investment needs or smaller amounts to invest.
One adviser's story coaxing clients to fees