Compliance

Small adviser firms are failing to act on the regulatory advice given to them by compliance consultants, according to evidence gathered by the FSA.

It could be my age, it could be the start of a new year or perhaps simply the fact that I have got nothing better to do...but I can't help reflecting on the last 20 years.

Employers will be exempt from auto-enrolling staff into the national pensions saving scheme if already provide access to pension schemes which are equivalent to or more generous than the proposals set out for personal accounts, says the DWP.

The Financial Services Authority has published an anti-money laundering self-assessment tool for small firms to ensure they are addressing their legal and regulatory obligations to combat financial crime.

Private client portfolio manager and stockbroker Brewin Dolphin Securities (BDS)says its decision to invest heavily in new information and communications technology (ICT) will not only boost its ability to serve IFAs, but serves as a possible model across...

Planned updates to CeMAP and CeFA from the Institute of Financial Services (ifs) triggered by A-Day requirements will affect those already studying for the qualifications, the institute has warned.

Lighthouse Group has unveiled its new IT platform to members under the brand LighthouseXpress, along with new distribution agreements with Abbey, Friends Provident, Norwich Union, Skandia and Standard Life.

A Diploma in Investment Compliance has been launched by the Securities and Investments Institute.

A service has been launched for IFAs, accountants and solicitors to try and establish a recognised benchmark or ‘seal of approval' for professional partnerships with intermediary firms.

Perspective taken from last week's PIMS conference suggest IFA attitudes were now more positive towards industry changes....but one conference delegate is far from happy with the raft of regulations.