FCA

DB transfer advice: Is it worth the reputational risk?

Simplified advice propositions should include hurdle questions to prevent certain types of client from entering the system, according to a lawyer turned adviser.

Network Best Practice is to roll out a direct to consumer (D2C) proposition to its advisers allowing them to offer clients access to some self-service options.

A paper commissioned by the Financial Conduct Authority (FCA) has found ‘problems at every stage' in the way firms deal with vulnerable consumers.

The government has sold a further £500m of Lloyds Banking Group shares through a trading plan launched in December, taking the total amount of money recovered for the taxpayer from the bank to just under £8bn.

Investors in failed fund Connaught who are trying to claw back some of their losses must wait longer in limbo as the regulator admits it has still not brokered a deal to secure redress for them.

Would you do the same? Award winning case study answer #1

Investment and financial planning businesses Jonathanfry and Easby Gale and Phillipson (EG&P) have completed a merger to form a company with offices across the North East and Yorkshire running £700m of clients' funds.

Advisers and paraplanners should avoid using suitability reports pre-filled with templated objectives, Financial Conduct Authority (FCA) technical specialist Rory Percival has said.

The Financial Conduct Authority (FCA) was "not aware" of allegations HSBC helped wealthy clients evade millions in tax until they appeared in the media, chief executive Martin Wheatley has told MPs.