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Home > Regulation


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From Investments| May 27, 2016

FCA hires former IA boss Godfrey in policy role

Mr Godfrey will focus on policy as regulator continues probe of fund management industry.

From Your Industry| May 27, 2016

Adviser slated for failing to check instruction was genuine

Ombudsman says adviser fell “well short” of what was expected from a finance professional.

Regulation| May 27, 2016

Charge caps, Fos stats and AR impact: week in news

Making the pension exit charge fit and the ombudsman’s dealings with advisers make up the news that dominated FTAdviser in the last five days.

From Mortgages| May 27, 2016

Networks reveal concerns about FCA holistic adviser proposal

Networks question how regulator’s suggestion mortgage advisers should offer more “holistic” advice could be made a reality.

From Pensions| May 27, 2016

Stop complaining and face reality, DB members told

Members of final salary pension schemes can afford to take a pay cut for the sake of their employers’ survival, says corporate adviser.

From Your Industry| May 27, 2016

Apfa makes demands to FCA’s McDermott

Regulator’s acting chief executive encourages contributions to the FSCS levy review, adding the FCA has “an open mind” on how it might proceed.

From Mortgages| May 26, 2016

Industry pushback on seven-day mortgage switching

Broker warns government’s “wonderful soundbite” may not work in reality.

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

Inducements, the final frontier

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

FTAdviser Blog

More carrot and less stick

Sugar tax may not be the best way to tackle the UK’s obesity crisis.

UK Regulation

Customers will be the real winners from FAMR

Member of the FAMR panel presents his thoughts post-publication.

More News

From Pensions| May 26, 2016

Providers unveil plans for pensions dashboard

Providers agree a pension dashboard should be privately-funded and standardised, though details over money remain vague.

From Pensions| May 26, 2016

DWP excludes MVRs from pension charge cap

Government looks to engage with industry on the proposals to introduce a cap for occupational schemes.

From Pensions| May 26, 2016

Tenet criticised for pension transfer advice

Ombudsman rules adviser should have told self-employed man in his 30s to leave his deferred pension benefits where they were.

From Pensions| May 26, 2016

FCA to cap pension exit fees at 1%

Department for Work & Pensions set to also consult on capping early exit charges for members of occupational schemes.

UK Regulation| May 26, 2016

Ombudsman upholds four out of 10 complaints against IFAs

Once again, complaints about advisers only accounted for 1 per cent of total complaints in 2015 to 2016.

From Your Industry| May 25, 2016

Adviser vs network legal fight could change AR rules

Lawyer warns case could damage and devalue the relationship between appointed representatives and their networks.

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