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Home > Regulation


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UK Regulation| Apr 17, 2014

FCA redirects £500,000 fines for banned advisers to FSCS

Partners at firm advised their clients to invest £56m in Harlequin, final notices reveal.

From Pensions| Apr 16, 2014

Single rate pension tax relief ‘easier said than done’

Restricting reforms to employee contributions would have “more muted impact” than Steve Webb wants, consultancy says.

EU Directives| Apr 16, 2014

Advisers must protect corporate clients against EU...

Corporate clients will need in-depth advice to avoid being harmed by a new body that will investigate and prosecute fraud against the European...

Regulation| Apr 16, 2014

Flowers charged with drug possession

Reverend Paul Flowers, the former chairman of the Co-operative Bank, has been charged with drug offences.

UK Regulation| Apr 16, 2014

Apfa pushes for new way to appeal Fos decisions

Adviser trade body says government proposal “should mean more small firms can get a proper hearing”.

From Your Industry| Apr 16, 2014

HMRC issues fresh guidance on platform adviser charges

Any payments made into a clients account before being passed on will be taxed as an annual payment.

Regulation| Apr 16, 2014

FCA probes charges and terms of overdrafts

The FCA has started to investigate overdraft facilities offered by banks after two research papers found “even the most astute” customers were...

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 Inducements and Managing Conflicts

The RDR was supposed to bring an end to accusations that advisers were swayed by provider’s cash.

FTAdviser Blog

Adviser pension transfer fines portend slew of enforcement

Financial Conduct Authority reiterates its concerns about Sipps in two final notices issued today.

FTAdviser Blog

Budget advice black holes and rebate revelations

Week in Brief: The government guarantee of ‘guidance’ is slowly being picked apart.

FTAdviser Blog

Adviser Rant: Self-regulation can indeed work

The present system doesn’t work all that well and is overly expensive - something needs to change.

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

EU Directives| Apr 16, 2014

Firms urged to revisit EU regulation compliance

MiFID II introduces enhanced conduct of business requirements on financial services firms across Europe.

From Your Industry| Apr 16, 2014

FSCS stands firm on IFA litigation as it sets aside £7m

Chief executive says recoveries such as those in relation to Keydata help to keep wider levies lower.

From Investments| Apr 16, 2014

Morning papers: Nationwide to offer remote mortgage advice

The morning headlines brought to you by FTAdviser: 16 April 2014.

From Your Industry| Apr 15, 2014

Platforms still an ‘immature market’: Nucleus

It is difficult to see who will survive the disruptive changes being imposed by the regulator, wrap says.

UK Regulation| Apr 15, 2014

Advisers escape with less than a quarter of FSCS levy top-up

Annual levy for 2014/2015 will rise £7m to £112m compared to January estimate.

UK Regulation| Apr 15, 2014

Jail for fifth £4m boiler room fraudster

Serious Fraud Office says investors had “no idea” that most of the money for the shares which they transferred was siphoned off by the boiler rooms.

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