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Regulation

FSCS chief executive Mark Neale
FSCS to enforce extra £78m levy on financial advisers

Rising claims against pensions advisers

  • Regulation
  • 31 January 2019
What are the challenges facing financial advisers in 2019?

Partner Insight: A changing regulatory landscape and market volatility are on the agenda

  • Sponsored
  • Regulation
  • 07 January 2019
New regulation responsible for outsourcing boom - Architas' Bampton

Partner Insight: The rise in demand for DFM and multi manager solutions has been largely driven by new mandates from the regulator, says James Bampton, head of UK intermediary distribution at Architas

  • Sponsored
  • Regulation
  • 18 October 2018
Financial Conduct Authority
Capita pays FCA £51m over Connaught UCIS investments

Part of up to £66m in compensation to investors

  • Regulation
  • 12 April 2018
FCA has 'no immediate plans' to deal with pre-RDR trail commission

Opened consultation on issue last June

  • Regulation
  • 05 April 2018
Caroline Wayman of the FOS
FOS to hire independent reviewer in wake of Channel 4 investigation

Responding to letter from Treasury Committee chair Nicky Morgan

  • Regulation
  • 25 March 2018
The government is consulting on options for an EIS fund structure aimed specifically at investment in knowledge-intensive companies
Government considers 'knowledge-intensive EIS fund structure'

Consultation ends on 11 May 2018

  • Regulation
  • 13 March 2018
FOS comes under fire as Dispatches investigation reveals 'undertrained' staff
Undertrained FOS staff 'rely on Google' to solve cases

Thousands of cases could be re-opered

  • Regulation
  • 13 March 2018
FCA phone regulation
FCA receives more than 1,500 MiFID II queries in six months

FOI from Professional Adviser

  • Regulation
  • 21 February 2018
Charles Randell
Update: Banking crisis lawyer Charles Randell confirmed as next FCA chairman

Will serve five-year term

  • Regulation
  • 05 January 2018
Advisers face additional FSCS levy linked to SIPPs
FSCS demands extra £24m levy due to rising SIPP claims

SIPP-related claims continue to grow

  • Regulation
  • 04 January 2018
FSCS has overpaid Arch Cru victims
FSCS admits Arch Cru compensation mistakes

Compensation payments incorrectly updated

  • Regulation
  • 04 January 2018
Linda Woodall steps down from FCA
FCA financial advice director Linda Woodall exits

Retiring from regulation

  • Regulation
  • 03 January 2018
The GDPR comes into effect in May 2018
MiFID II and GDPR cause advisers biggest headaches in 2017

'Advisers are waking up'

  • Regulation
  • 11 December 2017
Philip Hammond
VCTs/ISAs/Pensions: Five areas to watch in this week's Budget

Stamp duty reform? Raid on pensions?

  • Regulation
  • 19 November 2017
FSCS investment protection limit
FCA proposes £85,000 FSCS investment protection limit

Up from current £50,000 cap

  • Regulation
  • 30 October 2017
FSCS levy
FCA proposes providers contribute 25% to FSCS

Risk-based levy still on the cards

  • Regulation
  • 30 October 2017
FCA platform study
FCA looks at 'new golf days' in platform market study

Interim report to be published summer 2018

  • Regulation
  • 30 October 2017
FCA phone regulation
FCA urges public to help highlight investment scam attempts

4,000 firms on 'Warning List'

  • Regulation
  • 25 October 2017
FCA bans husband and wife advisers
FCA bans husband and wife advisers for mis-selling endowment policies

Wife also fined £50,000

  • Regulation
  • 12 October 2017
Credit card debt
Household debt 'dangerous' to all, warns BoE official

'Spiral of complacency'

  • Regulation
  • 25 July 2017
FCA retirement outcomes review
FCA warns pension investors need greater drawdown protection

Accessing pension pots early has become ‘the new norm'

  • Regulation
  • 12 July 2017
anne-richards
M&G CEO Richards named FCA practitioner panel chair

Succeeds HSBC CEO António Simões

  • Regulation
  • 30 June 2017
Four big banks among participants in FCA advice unit

Four advice firms also on list

  • Regulation
  • 30 June 2017
12

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Emma Wall to join Hargreaves Lansdown
Hargreaves Lansdown hires Morningstar's Wall to lead investment analysis
Countdown to Brexit
Brexit Blog: May suffers another Commons defeat
Janus Henderson amends pricing of property funds
Janus Henderson adjusts pricing approach on £2.8bn Property fund to promote 'long-term investment'
Schroders' James Rainbow
Schroders and Lloyds JV targets £25bn in AUM
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