FCA register proposals provoke concerns for firms and consumers
Certified advisers could ‘fall off’register
"It is solving a problem that does not exist in the small end of the market and might be causing others" - Threesixty's Phil Young
The proposed reduction of the Financial Conduct Authority's (FCA) register could lessen protections for small advice firms and consumers, compliance experts have warned.
Among plans published yesterday to extend the senior managers regime to all regulated financial services firms were proposals certified people within a firm would not need to be approved directly by the FCA....
More on Regulation
FCA video tells consumers how to spot bad DB transfer advice
Transferring out of DB scheme
Wealth Wizards developing software for FCA's 'abridged advice' proposals
Early 2020
Defining Broken Transfers: FCA robustly defends its regulation of transfer advice
Summer series continues
Chris Davies: A Gabriel, compliance and business 'summer' clean
Data quality is key
Tribunal forces FCA U-turn on report-shredding ex-Barclays Wealth boss ban
Shredded document in 2013
More news
Justin Taurog: Why we are not all built for risk
'People miscalculate how much they need'
More than 70% of DB transfer recommendations were positive in 2016-17
Information request by AJ Bell
Investors in Grand Designs presenter's housing scheme set to lose thousands
Could lose 97% of investment
CashCalc hits £100bn under calculation
12,000 users
Libby Holding: Three important considerations in assessing mental capacity
'Document your conversations'
Back to Top