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Home > Regulation


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Regulation| 14:04

Lloyds Banking Group hit by £105m fine

Another Libor fine hits the UK banking sector

UK Regulation| 08:48

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.

From Your Industry| Jul 25, 2014

‘No formula to calculate advice risk’

Chris Hannant, director general of Apfa, discusses the distorting effect of the heavy liability that advisers face.

From Your Industry| Jul 25, 2014

Lloyds confirms ‘late-stage’ talks on Libor

Settlements are yet to be agreed but Lloyds expects they will include penalty payments.

From Your Industry| Jul 25, 2014

Advisers split on post-RDR report writing burden

Suggestion that client reports take significantly longer to compile post-RDR not shared by all advisers.

From Investments| Jul 24, 2014

Property to benefit from Budget changes: Equiniti

Pension administrator predicts housing boom as at-retirement rules are relaxed.

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 24, 2014

Tpas: Mandatory ‘guidance’ would undermine flexibility

“A number of people do need to get some help from financial advisers”, pensions service says.

Regulation| Jul 24, 2014

London Whale trader granted extension to challenge FCA

“London Whale” debacle rolls on as judge finds against regulator.

From Pensions| Jul 24, 2014

Regulator warns pensions liberation is £500m problem

Victims of pension liberation scams have come forward to warn against the impact of losing money in retirement savings.

From Your Industry| Jul 23, 2014

Pica to revisit annuities-centric adviser directory

Tpas says it is “very keen to work” with organisations like Pica “who have a directory in place”.

UK Regulation| Jul 23, 2014

Barrister promoted to replace Ceeney as chief ombudsman

Latest appointment is currently legal director at the Financial Ombudsman Service.

UK Regulation| Jul 23, 2014

FCA’s simplified advice stance not in consumer interest

Current definition will force IFAs to choose between status and offering simplified advice.

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