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FCA

Adviser argues for TPR/FCA merger after Consumer Duty 'failure'

Consumer Duty

Adviser argues for TPR/FCA merger after Consumer Duty 'failure'

Karen Ritchie wonders if The Pensions Regulator has ‘had its day’

clock 12 December 2023 • 3 min read
FCA raises alarm on platforms' handling of customer interest

Your profession

FCA raises alarm on platforms' handling of customer interest

Regulator cracks down on investment platforms for ‘double dipping’

clock 12 December 2023 • 1 min read
FCA's advice/guidance review: 'Boundaries must not be blurred'

Regulation

FCA's advice/guidance review: 'Boundaries must not be blurred'

‘It is vital that financial advice is not diluted’

clock 11 December 2023 • 5 min read
FCA plans 'new form of simplified advice' in advice/guidance review

Regulation

FCA plans 'new form of simplified advice' in advice/guidance review

The regulator and HM Treasury set three proposals as part of major review

clock 08 December 2023 • 6 min read
FCA slams financial promotion exemptions for HNW individuals

Regulation

FCA slams financial promotion exemptions for HNW individuals

Regulator says the exemptions result in consumer harm

clock 07 December 2023 • 2 min read
'Targeted, intrusive and assertive': The FCA's new pro-active approach

Regulation

'Targeted, intrusive and assertive': The FCA's new pro-active approach

Latest Dear CEO letter from regulator speaks volumes

clock 04 December 2023 • 4 min read
FCA's 'polluter pays' regulation will add to DB transfer advice burden

Regulation

FCA's 'polluter pays' regulation will add to DB transfer advice burden

‘It will increase the regulatory and financial burden for advice firms’

clock 01 December 2023 • 2 min read
Could Consumer Duty push asset managers out of UK retail market?

Consumer Duty

Could Consumer Duty push asset managers out of UK retail market?

Compliance will weigh more on those with global businesses and offerings

clock 01 December 2023 • 10 min read
FCA's SDR regulation will 'make advisers sit up and listen'

Regulation

FCA's SDR regulation will 'make advisers sit up and listen'

‘There has to be a fundamental re-educating of the adviser community’

clock 30 November 2023 • 4 min read
FCA's 'polluter pays' consultation: 'Wary' IFAs raise questions

Regulation

FCA's 'polluter pays' consultation: 'Wary' IFAs raise questions

Small advice firms may not get ‘outcome they desire’

clock 29 November 2023 • 7 min read
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