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Home > Regulation


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UK Regulation| Sep 18, 2014

FSCS favours levy overhaul to reflect adviser risk

Risk-rated levies under discussion but agreed method of measuring risk would be needed, Mark Neale says.

From Your Industry| Sep 19, 2014

Relief among advisers on Scottish ‘no’ vote

Giving clear advice to clients much easier after Scotland votes no in independence referendum.

From Mortgages| Sep 19, 2014

FCA tells industry to prepare for rate rise ‘fallout’

Research shows 1 per cent rise would prompt a quarter of existing borrowers to “go elsewhere” to find money.

UK Regulation| Sep 18, 2014

‘Guidance guarantee’ could swallow 5% of adviser profits

Apfa calculates a £20m levy would represent between three and five per cent of advisers’ retained profits.

UK Regulation| Sep 18, 2014

FCA freezes payments from Bolton debt firm trio

Three firms no longer able to pay creditors, regulator warns customers.

UK Regulation| Sep 17, 2014

FCA refusing to be held accountable: Garnier

Treasury select committee member questions whether FCA understands accountability.

Regulation| Sep 16, 2014

Long-stop blocker could be resolved in next month

Regulator has agreed to follow-up meeting in November, where written case for long-stop will be presented.

Analysis & Opinion
FCA is steamrolling over an industry with few friends

John Lappinon| Sep 08, 2014

FCA is steamrolling over an industry with few friends

Only when the political climate changes will advisers’ expertise be taken seriously

My view is that the high watermark of bank influence was the first version of the RDR

Gill CardyonUK Regulation| Sep 10, 2014

The arduous task of proving your ‘independence’

I genuinely could not work out what you needed to actually do differently to meet this ‘new definition’.

UK Regulation| Sep 04, 2014

Positive action, but slow progress

Despite the will on behalf of regulators to increase accountability and act on bonuses, much still needs to be done

Jon CudbyonYour Industry| Aug 21, 2014

‘Caveat emptor’ should surely apply to Twitter

The FCA’s consultation on social media reveals an urge to tinker, despite the area being impossible to regulate

More on Regulation
Adviser Guides

Guide to Pension Liberation

Any scheme which offers money from a pension fund before minimum pension age should ring alarm bells.

Special Reports

Retirement - June 2014

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

FTAdviser Blog

Advisers must stand up and say ‘no’... to providers

Week in Brief: Scottish referendum panic and relief, advisers demanding wasted time fees and poor pension service.

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

Sipps - June 2014

Pensions have dominated much of the newsflow in recent months.

FTAdviser Blog

FCA’s ‘extensive engagement’ is anything but

All did not seem right in the FCA’s sourcing of input and reference sources to write the social media paper.

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.

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.

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| Sep 15, 2014

FCA’s £3.2m order double insider dealers’ profit

Confiscation regime allows the court to assume profits from other trading in the same period represent proceeds of crime.

Regulation| Sep 15, 2014

Simplify language to boost financial literacy: report

Consultation also suggests financial education should start in primary school.

From Mortgages| Sep 15, 2014

CML presses for regulatory review post-Budget 2014

Lending into retirement market regulations should be scrutinised, says lending industry body.

From Pensions| Sep 15, 2014

Advisers believe Budget reforms will boost business

Survey reveals overwhelming support for at-retirement reforms.

Regulation| Sep 15, 2014

Apfa blames regulator for wrecking innovation

Director general tells regulator “risk adverse environment hinders innovation”.

From Your Industry| Sep 12, 2014

Adviser survey rails against ‘unfair’ ombudsman

Pancea survey finds 93 per think advisers should have the same right of appeal afforded to complainants.

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