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Home > Regulation


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UK Regulation| Jan 26, 2015

FCA green light for provider pension freedom push back

It will be possible for firms to provide risk warnings without providing regulated advice, FCA says.

UK Regulation| Jan 26, 2015

Treasury confirms EU Mortgage Credit Directive rules

New regulations for buy-to-let lending and second charge lending confirmed.

From Your Industry| Jan 26, 2015

FSCS opens door for claims against 10 adviser firms

Seven investment advisers and three in life and pensions sub-class also to be open for claims.

UK Regulation| Jan 23, 2015

Hedge fund manager jailed for 13 years

Hedge fund manager rewarded himself “handsomely” from investors’ monies to the value of £5.8m.

From Pensions| Jan 23, 2015

Provider push-back and brutal honesty: The week in news

Webb’s pronouncements, FCA steadfast, ratings agency honesty, network model doubt and ECB stimulus lead the agenda.

Regulation| Jan 23, 2015

‘Ombudsman took years to deal with client complaint’

Pension Ombudsman dismisses case for missing deadline after a delay of years

From Mortgages| Jan 23, 2015

Three things the CML hopes won’t happen in 2015

Industry body prays for no fresh problems in the eurozone or a worsening global economy.

Analysis & Opinion
Advising across Europe is easier than you think

From Your Industry| Nov 25, 2014

Advising across Europe is easier than you think

Charges may not always be clear, but there are few obstacles for advisers that wish to advise expat clients.

The longest a UK investment firm will have to wait until it can commence business in a branch based in Germany is two months

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.

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.

More on Regulation
Adviser Guides

Guide to Workplace Pensions

Historically, many public and private sector organisations have provided a defined benefit pension scheme for staff.

FTAdviser Blog

Of course life companies are backing annuity re-sales

New Review: Providers would retain risk pool and would avoid writing a welter of cheques.

Adviser Guides

Guide to Mortgage Endowments and Interest-Only

Mortgage endowments were unusual among financial products.

FTAdviser Blog

Damning criticism of RDR buried under Xmas wrapping paper

Introducing our new columnist, one of the best-known figures in retail financial services, Garry Heath

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?

FTAdviser Blog

Annuity re-sale plan could go ‘toxic’

News Review: Secondary sales seem fraught with difficulty, but we should help annuitants left out of pocket.

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| Jan 23, 2015

FCA: Guidance will help identify ‘implicit’ advice

Publishing a newsletter or blog could be construed as a recommendation if it leads to a client taking action.

UK Regulation| Jan 22, 2015

Nine key takeaways on FCA advice boundaries

FCA’s finalised guidance offered clarity in some areas, but also leaves a lot of confusion.

UK Regulation| Jan 22, 2015

FCA finds no evidence of retrospective regulation

Feedback does however raise issues which regulator seeks to address separately.

From Pensions| Jan 22, 2015

Annuity decline to undermine insurer investment billions

One provider says move represents another instance of “non-joined-up thinking”.

UK Regulation| Jan 22, 2015

FCA stands firm on ‘simplified’ advice standards

Final guidance states exceptions to standards hinge on whether a personal recommendation is made.

UK Regulation| Jan 22, 2015

Broker bosses banned and fined £315,000 over Libor rigging

Former chief executive and compliance officer would have faced fines of £450,000.

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