We use cookies to improve site performance and enhance your user experience. If you'd like to disable cookies on this device, please see our cookie management page.
If you close this message or continue to use this site, you consent to our use of cookies on this devise in accordance with our cookie policy, unless you disable them.

In association with

Home > Regulation


Top Story

UK Regulation| 11:43

Watchdog contemplates giving you a star rating

Project sits as one of three that the Consumer Panel is currently working on.

Regulation| 17:20

FCA calls for examples of retrospective regulation

The body looks at the idea of an “expectations gap” between regulators and industry

Regulation| 17:20

Lehman Brothers Pension Scheme hits “milestone”

Discussions over how to fill a deficit in the fund appear to have been successful

From Pensions| 15:44

Webb: Future is a single pensions regulator

Minister presents the pensions bill, responding to questions from the house.

UK Regulation| 15:35

Apfa tells FCA to streamline ‘8 foot’ rule book

Regulator’s handbook, if printed, would stack up to an eight foot pile of A4 paper.

UK Regulation| Sep 01, 2014

SFO probes failed £100m legal fund

Funds’ former director stuck off by the solicitors regulator over unrelated investigation.

From Pensions| Sep 01, 2014

Pension pot transfer limit debate breaks out

Potential for amendments to be made to small pot transfer service in the lead up to roll-out.

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

UK Regulation| Sep 01, 2014

Suspicious transactions up 28% under FCA

On average 117 suspicious transactions are reported each month, compared to 28 a month five years ago.

From Pensions| Sep 01, 2014

FCA has ‘challenging task’ with new pension reforms

Questions over guidance guarantee and pensions tax reforms to be aimed at chancellor tomorrow.

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.

Most Popular
More on FTAdviser
FTA jobs