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Home > Regulation


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EU Directives| 15:44

Tisa looks for clarity on Mifid II governance

Tisa said that now the rules are in implementation phase, it is a good opportunity for the industry to get involved.

From Pensions| 15:44

Pensions minister mulls Webb’s legacy initiatives

“I have a huge job on my hands to steer these reforms through the coming period, ”Ros Altmann says.

From Pensions| 15:24

Five key takeaways from exit charges consultation

Regulatory evidence gathering, defining exit penalties and what investment deductions may be made.

UK Regulation| 15:12

TPR issues 119 compliance notices over the quarter

In total, there have been 1,751 notices handed out by the regulator.

From Your Industry| 11:57

Apfa evaluates Fos cases for ‘systemic problems’

Ombudsman Service is confident there are no “systematic problems” as IFA launches petition to require Fos to “adhere to common law”.

From Pensions| 11:55

Gov’t gives trio of options to tackle exit fees

Treasury addresses ‘insistent clients’ in its consultation document.

From Pensions| 11:13

Firms see overseas pension referrals jump due to concerns

Under the pension age test, schemes are required to assert savers are not able to access funds before the age of 55.

Analysis & Opinion
Closed life book inquiry sealed Wheatley’s fate

John LappinonYour Industry| Jul 27, 2015

Closed life book inquiry sealed Wheatley’s fate

FCA’s outgoing chief exec did manage to secure some victories during his tenure.

Advisers should ask the new man or woman to help them serve their clients better with sensible reforms

FTAdviser BlogonUK Regulation| Jul 24, 2015

Have you got the X Factor needed to be FCA chief?

Who would want to be chief executive of the FCA?

FTAdviser BlogonUK Regulation| Jul 15, 2015

Government should drive a Chevy through this levy

FSCS and FCA fees are growing out of all proportion and are the largest threat to IFAs

FTAdviser BlogonUK Regulation| Jul 10, 2015

FCA tells advisers what is expected but...

What is your job: to deliver what your clients want, or tell them what they need to do?

More on Regulation
Adviser Guides

Guide to Second Charge Mortgages

Second charge mortgages are currently regulated as consumer credit but this is set to change.

Special Reports

Pensions and Tax - July 2015

George Osborne warns he is ‘open to further radical change’ of pensions and taxes.

FTAdviser Blog

There is good as well as bad in Wheatley’s legacy

Ken Davy airs his views on the world of financial advice

Adviser Guides

Guide to Risk Profiling

Short cut quizzes no longer cut it with the regulator when it comes to assessing your client’s attitude to risk.

Special Reports

Income Drawdown - March 2015

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

FTAdviser Blog

Have you got the X Factor needed to be FCA chief?

Who would want to be chief executive of the FCA?

Adviser Guides

Guide to Blended Retirement Solutions

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

FTAdviser Blog

Government needed to get guidance right first

Advisers are having to deal with calls from their clients who simply do not want to hear what is the best course of action.

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| 10:30

FCA bans former Rabobank trader

To date the regulator has issued 14 warning notices related to interest rate benchmarks.

From Mortgages| 09:07

Mortgage growth backs RBS Q2 profit, but H1 still at a loss

Mortgage platform upgrade ups the number of mortgage advisers 28 per cent compared with Q2 2014.

UK Regulation| 09:07

Ombudsman warns legal action likely for missing pension

Ombudsman publishes thirteenth pension liberation decision.

From Pensions| 08:56

Gov’t confirms Equitable Life scheme to close at year-end

The scheme has paid out over £1bn to around 87 per cent of eligible policyholders.

From Pensions| Jul 29, 2015

DWP scraps paper-based pension service for digital

Aegon’s regulatory strategy director hopes move will pave the way for the ‘pensions dashboard’.

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