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Home > Regulation


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UK Regulation| Aug 29, 2014

Tyrie questions FCA over skilled persons costs

FCA figures show costs are down compared to 2012/2013, but are substantially above previous years.

UK Regulation| Aug 29, 2014

FCA orders 2.5m PPI complaints reopened

Lenders will reassess claims from 2012 and 2013 that have not received sufficient redress or were unfairly rejected.

Regulation| Aug 29, 2014

FCA bans and fines Ucis director £350,000

Director set up three high risk Ucis which were promoted to thousands of retail investors.

From Pensions| Aug 29, 2014

Warning of boom in unregulated pensions

Sipps firms warn of need for level playing field with overseas pensions and self-administered schemes.

Regulation| Aug 28, 2014

Experts warn against lump sums as pension access default

Each uncrstallised lump sum withdrawal is split between 25 per cent tax-free cash and 75 per cent taxed income.

From Mortgages| Aug 28, 2014

Natwest resumes business with Financial Ltd

Lender had stopped accepting new applications earlier in August, following regulatory action against network.

UK Regulation| Aug 28, 2014

Deutsche Bank latest to be slapped with fine over reporting

FCA’s Tracey McDermott slams bank, saying there was “simply no excuse for Deutsche’s failure to get this right”.

Analysis & Opinion
Regulator building up barriers against competition

Gill Cardyon| Oct 03, 2013

Regulator building up barriers against competition

Providing more and more information to customers who know little of personal finance is going to be futile.

We would be well-served by drawing the FCA’s attention to the most egregious examples of rules inhibiting competition

Tony Hazellon| Oct 02, 2013

Mutuals hit hard where it hurts by FSCS levy

In the past five years the society’s members have contributed £1.15m to compensation scheme.

John LappinonUK Regulation| Sep 30, 2013

Baying for blood, but who is looking at the big picture?

The regulatory powers that be pass harsh judgement on the industry as a whole.

Kevin O'Donnellon| Sep 25, 2013

FCA will struggle in inducement conclusion

Inducements have always been part of financial services and their eradication poses difficult questions.

More on Regulation
Adviser Guides

Guide to Trivial Commutation post-Budget

Trivial commutation is an option for pension scheme members, which allows them to exchange small pensions for a taxable lump sum.

Special Reports

Retirement - June 2014

With annuitisation on its way out, will the insurance world adapt to the changing scene

FTAdviser Blog

Should advisers be on the hook for big firm compensation?

Week in Brief: Sesame will not follow Ashley Law, GARs in TCF spotlight and Mas’ complex relationship with advisers.

Adviser Guides

Guide to Fees Disclosure

The RDR, implemented at the beginning of 2013, introduced new disclosure requirements to make sure consumers understand what they are paying for.

Special Reports

Sipps - June 2014

Pensions have dominated much of the newsflow in recent months.

FTAdviser Blog

FCA fine gives context for Natwest over-compliance

Final notice reveals that affordability issues and lack of oversight of advised sales prompted action.

FTAdviser Blog

When the levy breaks: advisers in line to be hit again

Week in Brief: Pensions continue to dominate headlines with pension transfer review costs in the spotlight.

Track the latest regulation changes affecting your business...

Isolated Regulation Changes| Pensions | 14 Nov 2013

Shake-up of workplace pensions

Proposals to reshape workplace pensions for future generations have been outlined by the Department for Work & Pensions.

RDR| Conduct of business | 25 Oct 2013

Rules for advisers accepting provider’s cash

Financial Conduct Authority explains what kind of payments advisers can accept from providers.

RDR| Investments | 25 Oct 2013

Permitted cash rebates to retail clients

The Financial Conduct Authority explains when provider can pay cash rebates to retail clients.

More regulation paper summaries

More News

Regulation| Aug 27, 2014

PFS membership balloons by 1,000 since RDR onset

Professional body sees an increased uptake, though not all from advisersπ

Regulation| Aug 27, 2014

Legal action group to help IFAs challenge Ashley Law

Action group has been set up for advisers contacted by Ashley Law.

From Your Industry| Aug 27, 2014

Put your MMR questions to the FCA’s mortgage head

Lynda Blackwell, mortgage and mutuals sector manager at the FCA, will answer your questions during live FTAdviser debate.

Regulation| Aug 27, 2014

Carlisle advice firm trio disqualified over £2.6m transfers

Disqualifications follow investigation by the Insolvency Service in wake of firm’s 2012 collapse.

Regulation| Aug 27, 2014

RBS fined £14.5m for mortgage advice failings

Lenders failed to adequately address failings raised in 2011, according to regulator.

From Your Industry| Aug 26, 2014

Sesame pledges not to pursue advisers over review

Firm claims its PI cover will pay redress, citing this as a ‘benefit of being in a network’.

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