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Regulation

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UK Regulation| 15:01

Fine wine scam sees director disqualified

Sole director prevented from running any other business for 11 years.

From Your Industry| 15:40

Network blames regulatory levy on member fee hike

Member fees up by £150 for each adviser authorised for investments, pensions and mortgages.

From Tools & Data| 13:05

FCA considers overhaul of fund soft-closure rules

Fund groups and trade associations request ability to temporarily shut funds more quickly.

From Pensions| 12:02

Advisers ‘paranoid’ as Sipp P2P lending surges

Sipp distribution deals and the Innovative Finance Isa likely to help smooth the way to acceptance, provider predicts.

From Your Industry| 08:39

FCA accused of becoming TripAdvisor for advisers

Rules are set to come in next June, requiring reporting of complaints to the regulator, among other things.

Regulation| Sep 02, 2015

New Zealand Qrops taking part in dispute process

Evergreen Retirement Trust is in ‘ongoing discussions’ with HMRC about Qrops status

From Pensions| Sep 02, 2015

MPs to question ABI, NAPF and McPhail on freedoms

Heads of pension industry trade bodies and research groups to be grilled by MPs.

Analysis & Opinion
Advisers must strike balance with regulatory wishes

John LappinonUK Regulation| Aug 24, 2015

Advisers must strike balance with regulatory wishes

Advisers should not forget the quid pro quo of the Financial Advice Market Review.

There is something incredibly valuable about the client-focused DNA that is at the heart of many adviser firms

Emma Ann HughesonYour Industry| Aug 21, 2015

Consumers want to pay £253 but you charge £500

Research shows the typical cost advisers charge for an initial financial review is almost double the amount consumers are willing to pay.

UK Regulation| Aug 12, 2015 |

Explaining the FCA fee hike

As the FCA hikes its fees, there are many calls on the money it rakes in.

FTAdviser BlogonUK Regulation| Aug 07, 2015

Should you include regulatory levy charge in fee bill?

Trade body says it would be helpful for clients to be able to see the impact of regulation in black and white.

More on Regulation
Adviser Guides

Guide to Professional Indemnity Insurance

This guide will ensure you understand the regulatory requirements for having professional indemnity insurance.

Special Reports

Pensions and Tax - July 2015

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

John Lappin

Advisers must strike balance with regulatory wishes

Advisers should not forget the quid pro quo of the Financial Advice Market Review.

Adviser Guides

Guide to Second Charge Mortgages

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

Special Reports

Income Drawdown - March 2015

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

FTAdviser Blog

Beware of the triple capacity crunch

Creative Auto Enrolment boss warns of the underestimated impact an industry capacity crunch could cause.

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.

FTAdviser Blog

Lessons learned from Keydata

In this White Paper, published in full, Lowes Financial Management talks about what went wrong.

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

Regulation| Sep 01, 2015

FCA looking into Aviva-Friends Life merger deal

The regulator is looking into the possibility of insider trading before the deal became public

Regulation| Sep 01, 2015

FCA looking into Aviva-Friends Life merger deal

The regulator is looking into the possibility of insider trading before the deal became public

From Your Industry| Sep 01, 2015

FSCS chief says ‘you should pay for the risk you pose’

Compensation scheme boss hopes that the regulator’s funding review will take the topic into consideration this autumn.

From Pensions| Sep 01, 2015

HMRC reintroduces Australian fund to Rops list

This follows the list being slashed of all Australian funds earlier this year.

From Pensions| Sep 01, 2015

Lloyds accuses Fos of basing decision on ‘speculation’

The ombudsman rejected an appeal made by the bank against a previous decision.

Regulation| Sep 01, 2015

‘First lady of Threadneedle St’ for next FCA head?

The bank’s deputy governor could be set to replace Martin Wheatley as the FCA’s chief executive.

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