UK regulator to simplify platform switches for investors
And stop clients from disinvesting before changing provider
FCA
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FCA in talks with Google over mini-bond online adverts ban
UK regulator aims to develop technology to check if firms are authorised
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Is there a DB transfer mis-selling scandal looming?
Issue is ‘more widespread’ than people in the advice sector think
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Look beyond AUM when segmenting clients, says UK regulator
As it tackles ’emotive subject’ of fees: ‘We don’t expect advisers to be charities’
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M&G fund suspension prompts further scrutiny of FCA rules
Asset manager will waive 30% of the annual charge on the £2.5bn property fund
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FCA bemoans firms putting DB transfers over client interests
Regulator ‘still not confident’ that the concerns it has raised are being addressed
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UK regulator lays down the law over PI insurance cover
As PFS calls for changes to primary legislation to ensure advisers won’t leave DB transfer market
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‘Appalling’ fraudster hit with confiscation order
Twelve months after he was handed a five-year jail term for scamming £3m from investors
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The value of whistleblowers to the UK financial advice sector
Limited resources mean there is a need for advisers to speak out – but it can be seen as a ‘fruitless exercise’
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UK regulator bans marketing of speculative mini-bonds
As London Capital & Finance victims see move as the FCA ‘admitting we were mis-sold’
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Ex-Beaufort Securities investment manager pleads guilty
To conspiracy to commit securities fraud and violating Fatca
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Investment firm fined £1.9m over ‘closet tracker’ funds
UK regulator said situation revealed ‘serious weaknesses’ in the company’s systems and controls