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Home > Regulation


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UK Regulation| 10:53

Regulators propose strengthened senior managers regime

Proposals include enhanced powers to hold senior individuals in banks to account and regular vetting of senior managers for fitness and propriety.

UK Regulation| 12:25

Hedge fund manager fails to shake off bulk of £3m fine

Hegde fund manager’s misconduct deemed to be at the “most serious end of the scale”.

UK Regulation| 12:13

FCA stands firm on not paying whistleblowers

From autumn 2014, regulators system will start to publish annual reports on whistleblowing disclosures.

Regulation| 08:44

Up to 20m people consigned to advisory limbo

Report reveals stark effects of growing advice gap.

UK Regulation| 08:37

BoE to introduce tough new banker rules

Tough new rules are still less than previously planned after pressure from the banking industry.

Regulation| Jul 29, 2014

Sir Richard Lambert launches banking report

More reforms are needed in banking, head of the Banking Standards Review says

From Pensions| Jul 29, 2014

FCA should force providers to ask ‘health questions’

Annuity software specialist says Pica will pitch for tender to run Money Advice Service adviser directory.

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 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

Retirement - June 2014

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

FTAdviser Blog

Why should advisers pay a third of the guidance levy?

Week in Brief: Pensions flexibility, self-invested pensions, and a naughty network.

Special Reports

Sipps - June 2014

Pensions have dominated much of the newsflow in recent months.

FTAdviser Blog

‘Keep it simple stupid’

‘Kiss’. This acronym was coined by Kelly Johnson, lead engineer at the famous Lockheed Skunk Works.

FTAdviser Blog

Five things I’ve learned from the FCA guidance consultation

Regulator asks for input on guidance portion of the government’s at-retirement reforms.

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

From Pensions| Jul 29, 2014

Capital rules to hit bespoke Sipps fees and flexibility

Sipp operators agree that the cost of running bespoke self-invested pensions are set to increase.

Regulation| Jul 29, 2014

FSCS finds four IFAs in default over Sipp transfers

Scheme “expects to see further similar failures going forward” in relation to IFAs giving transfer advice.

Regulation| Jul 29, 2014

Tyrie laments Lloyds ‘appalling behaviour’ over Libor

Treasury Committee chair said yesterday’s settlement is part of “the much needed clean-up operation” of the banking sector.

Regulation| Jul 28, 2014

Lloyds Banking Group hit by £105m fine

Another Libor fine hits the UK banking sector

UK Regulation| Jul 28, 2014

Adviser to face fresh trial over client data allegations

Financial adviser and computer studies graduate denies fraud.

UK Regulation| Jul 25, 2014

FCA sounds warning over bond fund ‘risks’

Regulator tells consumers to seek professional advice if they do not fully understand corporate bonds.

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