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Home > Regulation


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Regulation| Nov 21, 2014

HMRC concedes on court appeals for bank raids

Stakeholder pressure brings extra protections for consumers that have not paid debts.

From Pensions| Nov 21, 2014

Regulator shuts down £134m schemes charging 11% fees

Five connected liberation schemes had received transfers from more than 1,400 individuals.

UK Regulation| Nov 21, 2014

Five key themes from this week’s news

Pensions changes misrepresented, FCA sounds conciliatory tone, and Fundsnetwork breaks ranks.

From Pensions| Nov 21, 2014

Pension lump sum tool launched amid delay concerns

Providers not offering income drawdown must prepare to be able to give retirees access, firm claims.

Regulation| Nov 21, 2014

Tyrie promises probe into technology barriers to entry

Treasury Committee set to investigate whether big bank IT spending is barrier for smaller challengers.

EU Directives| Nov 21, 2014

Chancellor backs down as ECJ rejects bonus challenge

European court rejects all six UK arguments against the EU fixed pay rules.

UK Regulation| Nov 20, 2014

FCA’s former adviser liaison lands TPR top job

Lesley Titcomb joined the Securities and Investments Board in 1994 after qualifying as a chartered accountant.

Analysis & Opinion
Pension reforms: Risk vs ‘responsibility’

Ashley WassallonUK Regulation| Nov 14, 2014

Pension reforms: Risk vs ‘responsibility’

Consumer Panel solution is to take advice to benefit from claims protection - because then you can eat your cake and have it too.

Get your disclaimers ready - and prepare for the claims down the line.

Tony Hazellon| Nov 05, 2014

Where were you all? IFAs absent from pensions bill debate

Why did MPs fail to call those who will deliver advice?

John Lappinon| Oct 27, 2014

Let’s not terminate the Money Advice Service yet

Terrible start aside, the MAS still has a role to play in bridging the advice gap.

John LappinonInvestments| Oct 20, 2014

Advisers must intervene before guidance crashes

Be aware that the likelihood of retirement income reforms going wrong is high.

More on Regulation
Adviser Guides

Guide to Annuities Post-Pension Freedoms

How did the Budget shake up annuities in particular, and how are these products are set to change?

Special Reports

Retirement - June 2014

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

FTAdviser Blog

Who has their hands on the wheel of regulation?

Regulation, we are told, is a vital part of society.

Adviser Guides

Guide to Retirement Income Options post-Budget

Many headlines in the aftermath of the Budget concentrated on the fantastic freedom and choice being introduced.

Special Reports

Sipps - June 2014

Pensions have dominated much of the newsflow in recent months.

FTAdviser Blog

Advisers may not have hiked fees enough

Fear of clients walking away could be forcing advisers to swallow increasing cost burden.

Adviser Guides

Guide to Adviser Charging

Cash is king when it comes to explaining adviser charges.

FTAdviser Blog

Back to good old fashioned adviser bashing

News Review: Advice is becoming more important, but clearly there remains little appetite to talk the sector up.

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 Mortgages| Nov 20, 2014

Adviser given ‘conditional discharge’ over £1.5m fraud

Northern Irish adviser had sourced inflated mortgages and was convicted of failing to disclose money laundering.

From Pensions| Nov 20, 2014

Labour voted down on ‘scrutiny clause’ for pension tax bill

Opposition had sought to force Treasury into regular publication of its analysis on bill’s impact.

Regulation| Nov 20, 2014

FSCS winds up another credit union

Northern Irish credit union has just in excess of £400,000 invested by savers.

UK Regulation| Nov 20, 2014

Regulators in first dual enforcement over RBS tech crash

Financial Conduct Authority issues £42m fine, while Prudential Regulation Authority hands down £14m penalty.

UK Regulation| Nov 20, 2014

Stop press: FCA says insurance brokers not managing bribery

The FCA has said commercial insurance brokers are not managing bribery and corruption risk effectively.

From Pensions| Nov 19, 2014

End of ‘Soviet’ pensions will boost saving: minister

David Gauke calls on industry to provide ‘vital link’ between parliamentarians and public.

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