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Home > Regulation


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Regulation| Aug 26, 2016

FCA rescinds fine against mortgage broker

Broker is banned but faces no fine after proving reduced financial circumstances.

From Your Industry| Aug 26, 2016

PFS contacts new chancellor over FSCS concerns

Personal Finance Society chief executive raises doubts about long-term sustainability of compensation scheme.

From Your Industry| Aug 26, 2016

Non-doms targeted and staff disadvantaged: the week in news

As ever, regulatory grumbles and ombudsman decisions also feature on our end of week round-up.

From Pensions| Aug 25, 2016

Sipp liability in balance as Ombudsmen talks continue

Neither side willing to put a deadline on the discussions.

From Pensions| Aug 25, 2016

FCA must broaden scope of Retirement Outcome Review: LLA

Later Life Academy accuses FCA’s of not facing contemporary issues.

UK Regulation| Aug 25, 2016

Keydata boss says lawyer will ‘pay the price’ for loan saga

McGuire Woods London says the allegations are “without merit”.

UK Regulation| Aug 25, 2016

Public should take part in enforcement: FCA committee head

New chairman of the FCA’s regulatory decisions committee completes review into its membership.

Analysis & Opinion

UK Regulation| Oct 08, 2015

Collective action and its discontents

New legislation will allow for US-style class action lawsuits if there have been breaches of antitrust law in Europe

Those with smaller claims can lose out if the value of their claim is too low to justify the costs of bringing an action on their own

Emma Ann HughesonUK Regulation| Sep 25, 2015

FCA points to rules while advisers demand examples

The regulator’s technical specialist was put on the spot and asked to handle a pension transfer complaint.

UK Regulation| Sep 25, 2015

FEMR is a start – but don’t bank on it

Tougher regulations and penalties to try and prevent further banking scandals need to be built upon, but evidence of wrongdoing is looming.

Tony HazellonPensions| Sep 23, 2015

Confusion reigns at DWP over flat-rate pension

It took four phone conversations with three different officials before I understood my State pension statement.

More on Regulation
FTAdviser Blog

Harlequin set to topple Sipp providers

This chain of events has the potential to send shockwaves through the sector.

FTAdviser Blog

MEP backlash could spell problems for Priips

Post-Brexit sentiment in the European Parliament could delay useful financial regulation.


Inducements, the final frontier

What does the FCA’s rules on inducements mean for the regulator itself?

More News

From Pensions| Aug 25, 2016

Phoenix plans further acquisitions

Group chief executive says regulatory scrutiny will present more opportunities to buy back books.

From Insurance| Aug 24, 2016

Level term cover recommendation costs adviser

Ombudsman rejects client’s claim she was told she had to take insurance to get a mortgage, but still tells adviser to pay compensation.

UK Regulation| Aug 24, 2016

Waiting times for FCA authorisation worsen

Regulator says temporary staff are being trained up to tackle the backlog.

From Your Industry| Aug 24, 2016

HMRC proposes tough new offshore assets tax sanctions

Those dodging tax offshore have been given until September 2018 to correct their affairs.

From Pensions| Aug 24, 2016

Dentons defends Sipp providers’ stance on ‘interest turn’

Regulator has made it clear that interest rate trail should be disclosed, says Sipp provider.

From Your Industry| Aug 23, 2016

HMRC clarifies non-dom residence test rules

Tax experts welcome further detail, but admit these are only minor changes.

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