Compliance

NMIs: The ongoing sting in the tail of independence

Technical specialist at the Financial Conduct Authority (FCA) Rory Percival said he is "annoyed" by firms who are "looking to keep the regulator happy", as he admits the watchdog has a better job to do to dispel myths around its expectations.

Three's a charm: Why firms are failing on financial promotions

Regulation round-up: Enhanced supervision, Pension Schemes Bill and protection of client money

Regulation round-up: Disclosure, simplified advice and payday lending

Full disclosure: Do your firm measure up?

A former appointed representative of Financial Ltd, the network banned this week from recruiting new advisers in a landmark ruling, has spoken exclusively to Professional Adviser about what he found during his time at the firm...

‘Don't try to rule the world': Life through the lens of IFA Yvonne Goodwin

The Consulting Consortium (TCC) has launched a 'bespoke' compliance support service for small financial advice firms.

In focus: The nitty gritty of Osborne's pension revolution