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Home > Regulation


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UK Regulation| 12:01

Gauke gives tax evaders last chance to come clean

From 2016, the existing disclosure facilities will be replaced by a tougher, “last chance” facility.

From Mortgages| 13:33

Stamp duty shock to tighten buy-to-let criteria

Paragon argues those in the process of purchasing a property will accelerate the transaction before April.

From Your Industry| 12:51

Buy-to-let shocker and Apfa hits back: week in news

The Autumn Statement, handling insistent clients and auto-enrolment delays dominated headlines this week.

UK Regulation| 11:24

Fos compensation cap could be raised

Different award limits could apply if complainant is a business or an individual consumer.

UK Regulation| Nov 27, 2015

FCA small business panel to scrutinise levies

Director of Citywide Financial Partners says high fees and charges can have a “disproportionate impact” on smaller firms.

Regulation| Nov 26, 2015

MEPs give green light to Mifid II delay

Concenses reached over impracticality of partial delay to wide-ranging regulation.

UK Regulation| Nov 26, 2015

Drawdown charges to be investigated

Watchdog sent a request for information to a range of different firms offering access to pension pots.

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
Adviser Guides

Guide to Auto-Enrolment

This guide will explain what are the auto-enrolment requirements for employers, amongst other things.

Special Reports

Pensions and Tax - July 2015

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

FTAdviser Blog

Is the chancellor coming to TEE?

Debating the merits of changing the system of pension tax relief.

Adviser Guides

Guide to Professional Indemnity Insurance

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

FTAdviser Blog

What to expect from the Autumn Statement

Chancellor’s first all-Conservative statement may be less about political shock and awe and more about tying up loose ends.

Adviser Guides

Guide to Second Charge Mortgages

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

FTAdviser Blog

Why restricted advisers are far from being the best

Post-Retail Distribution Review regulatory changes and a new marketplace have led many large adviser firms down the restricted route.

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

From Pensions| Nov 26, 2015

FCA says you must document rejecting insistent clients

Financial Conduct Authority again urges advisers to get all possible documentation if they are to turn away clients insistent on pension transfers.

UK Regulation| Nov 26, 2015

Barclays fined £72m for ultra-HNW transaction gone wrong

Regulator’s the largest fine imposed for financial crime failings yet.

From Your Industry| Nov 26, 2015

Tavistock blames Financial Ltd purchase for earnings slip

Latest results put a positive spin on bumpy nine months, noting combined running costs have been reduced by £1m a year.

From Pensions| Nov 26, 2015

FCA delays retirement outcome review

Review pushed back to sequence its results better with other work being carried out.

Regulation| Nov 25, 2015

Government VCT changes to have ‘limited impact’

AIC says changes will not shake up the trust market.

Regulation| Nov 25, 2015

Libor fines to go towards military charities

Money raised by fines through Libor manipulation will go to good causes, George Osborne has announced

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