suitability requirements

'Damning' study finds wealth managers' suitability assessments are 'not up to the task'

Investment

'Damning' study finds wealth managers' suitability assessments are 'not up to the task'

‘Life changes fast’

clock 11 October 2022 • 2 min read

Regulation

FCA stops short of introducing mandatory standardised fact find

Process too complex

clock 11 April 2017 • 3 min read

Financial services

FCA's suitability probe prompted by FAMR concerns

Worries FAMR may hamper suitability of advice

clock 20 April 2016 • 1 min read

Wealth Management

Why suitability is the 'problem which refuses to die'

Wealth managers struggling with FCA guidance

clock 16 December 2015 • 2 min read

Wealth managers

FCA finds 60% of wealth managers' portfolios close to unsuitable

'Substantial' improvements needed

clock 09 December 2015 • 2 min read

Wealth managers

Charles Stanley FUM rises 3% as suitability review concludes

Charles Stanley saw total funds under management and administration increase from £20.1bn to £20.8bn for the year to the end of June.

clock 31 July 2015 • 2 min read

Wealth managers

FCA unveils three step process to deal with insistent clients

The Financial Conduct Authority (FCA) has published a paper clarifying its stance on how advisers will be held liable when dealing with insistent clients.

clock 08 June 2015 • 3 min read

Investment

Are wealth managers risking technological exclusion?

Suitability is back at the top of the regulator's agenda this year, but many wealth managers are still behind the curve, according to Wealth Dynamix CEO Gary Linieres

clock 12 May 2015 • 3 min read

Wealth Management

Wealth managers risk enforcement actions as FCA 'runs out of patience'

Wealth management firms are facing more serious consequences from a failure to meet suitability requirements as the regulator puts practices under fresh scrutiny.

clock 30 March 2015 • 3 min read

Wealth managers

FCA's Percival hints at end to FCA-FOS suitability confusion

Financial Conduct Authority (FCA) technical specialist Rory Percival has hinted the regulator and ombudsman are working to agree on guidelines around suitability reporting.

clock 05 March 2015 •
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