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Home > Regulation


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EU Directives| Apr 24, 2015

Apfa: Rules demanding adviser call recording ‘overkill’

Apfa boss describes Mifid II text as “quite grey”.

UK Regulation| Apr 24, 2015

Transfer travails and network liabilities: The week in news

Ombudsman decisions highlight providers are still not carrying out correct due diligence when preventing transfers.

From Pensions| Apr 24, 2015

Ex-Napf chair stands for election pledging pension reform

Former chairman of the National Association of Pension Funds stands for election.

UK Regulation| Apr 24, 2015

Tories pledge England-only income tax rate

Conservative party set to publish an England-only manifesto today.

From Your Industry| Apr 23, 2015

Apfa in talks with Fos on adviser complaint concerns

Ombudsman reassures advisers it does not split cases, one of two issues raised in adviser consultations

UK Regulation| Apr 23, 2015

FCA hands Deutsche Bank record rate rigging fine

German bank also fined almost £1.5bn by three US regulators.

From Your Industry| Apr 23, 2015

Friends pumped £20m into Sesame before closure

Parent group anticipates high cost of network’s adviser liabilities.

Analysis & Opinion
General election in perspective

Kerry Craigon| Apr 08, 2015

General election in perspective

Electoral uncertainty is the least of the variables likely to affect the UK economy in the short term

The key point for investors is that the date of the first rate rise is much less important than the subsequent pace

Tony HazellonPensions| Apr 16, 2015

A paean to our premium pensions minister

Steve Webb has delivered reforms that were sorely needed.

Ashley WassallonUK Regulation| Apr 10, 2015

I’m calling a ‘late break’ for the Tories

One of the most ideologically-charged elections in years will confound the psephologists.

Tony HazellonYour Industry| Apr 08, 2015

Financial firms are responsible for data trading

Whether personal data are sold or stolen, firms are putting clients at risk of fraud

More on Regulation
Adviser Guides

Guide to Blended Retirement Solutions

Savers are increasingly using a wide range of retirement income sources.

Special Reports

Income Drawdown - March 2015

Income drawdown is set to become the default retirement income option for more savers from April.

FTAdviser Blog

Live online guidance shows way forward for Pension Wise

To protect themselves, the website states that Moneyfit Q&A sessions offer “general guidance”.

Adviser Guides

Guide to Isas and Pension Freedoms

Isas were made a far more flexible savings vehicle last year.

Ashley Wassall

Why the ombudsman might be wrong to hit HSBC

News Review: Banks are not being fair to trapped customers, but not all interest-only refusals are wrong.

Adviser Guides

Guide to Multi-Asset and Pensions

The opportunity for savers aged 55 plus to keep hold of their pots and put them in a product of their choosing from April onwards is a huge step...

FTAdviser Blog

Sesame demise no surprise, but is the network model dead?

All eyes will be on who the new network partner is.

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

UK Regulation| Apr 23, 2015

Ombudsman warns Capita Oak complainants

Guidance states investors will have to explain why their cases are significantly different to those published.

UK Regulation| Apr 23, 2015

Regulator fines insurer for add-on failings

Firm failed to put in place systems and controls to ensure customers were given the right information.

From Pensions| Apr 23, 2015

Ombudsman again backs providers over transfers

Decision points to a change in policy since the regulator issued guidance to providers in February 2013.

Regulation| Apr 23, 2015

Regulator admits failings of firm contact centre

Regulator said an increase in complex queries led to some failings in service

From Pensions| Apr 22, 2015

Intelligent Pensions launches DB transfer service

Drawdown specialist reports a 440 per cent increase in defined benefit scheme transfer enquiries over the past six months.

Regulation| Apr 22, 2015

Lord Deben questions FCA competence over fees

The chairman of Apfa has raised concerns about the FCA’s plan to increase regulatory charges for financial advisers

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