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Home > Regulation


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Regulation| Dec 19, 2014

Esma: research to be ‘unbundled’ from trading costs

Asset managers set to take a hit as European regulators toughen up the industry’s “inducement” rules.

Regulation| Dec 19, 2014

Fraudulent adviser jailed for five years

A former independent financial adviser of the year has been jailed after defrauding his clients of nearly £3m.

UK Regulation| Dec 19, 2014

Transitional banking conduct rules set out

Transitional arrangements for the roll-out of new rules to encourage individual responsibility in banking have been published.

Regulation| Dec 19, 2014

Pension reforms create actuarial risk

The government’s changes to retirement rules have increased risk in actuarial work.

UK Regulation| Dec 19, 2014

Five key themes from this week’s news

The regulator has kept us on our toes by publishing something almost every day this week.

Regulation| Dec 19, 2014

Connaught directors disqualified for combined 16 years

Pair now cannot control or manage a company without leave of the court.

From Investments| Dec 19, 2014

Arch Cru decision exposed ‘regulatory arbitrage’

Case deemed “an example of regulatory arbitrage, as well as deplorable failure of fiduciary duties”.

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

Who is the FCA to say who is ‘fit and proper’?

Is the regulator ‘fit and proper’ itself?

Adviser Guides

Guide to Mortgage Endowments and Interest-Only

Mortgage endowments were unusual among financial products.

FTAdviser Blog

Four things I learned from damning FCA report

Law firm admonishes senior staff and demands better internal controls for price sensitive information.

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

Who has their hands on the wheel of regulation?

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

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| Dec 19, 2014

FCA pays out for wrong advice on broker protection

The FCA has reviewed the training its consumer contact staff receive after someone was wrongly told an insurance broker firm would protect them if...

From Investments| Dec 19, 2014

Arch Cru boss vows to fight on after High Court defeat

High Court judge rules against failed funds’ chief executive and refused permission to appeal.

UK Regulation| Dec 19, 2014

Government recovers a total £3.8bn from Icesave

Government says it’s on course to recover the full amount of its claim on the Landsbanki estate by 2017.

From Your Industry| Dec 18, 2014

Towry: Adviser numbers up 9% in 2014

Increase in advice population “is living proof that the industry is beginning to prosper”, says Towry’s John Porteous.

UK Regulation| Dec 18, 2014

Gov’t offers committee bypass for those in FCA crosshairs

Easier route to tribunals and parliamentary pre-commencement meetings for committee chairs among recommendations.

From Pensions| Dec 18, 2014

FCA guidance rules will not lead to referrals: advisers

Only 3 per cent of advisers surveyed thought new business will come from guidance session referrals.

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