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FCA

Adviser / Broking

Wheatley: Drop in adviser numbers is a concern

Martin Wheatley, the chief executive of the Financial Conduct Authority (FCA), has admitted to concerns about some of the effects the Retail Distribution Review (RDR) has had on the adviser community, and said the regulator will look into the reduction...

clock 10 September 2013 •

Regulation

UK lenders forced into £1.3bn redress for mis-sold card PPI

The Financial Conduct Authority (FCA) has reached an agreement with insurance provider Card Protection Plan (CPP) and 13 high street banks and credit card issuers which will result in a £1.3bn redress scheme for people mis-sold CPP's Card Protection and...

clock 22 August 2013 •

Adviser / Broking

FCA reveals adviser numbers up in the first half of the year

The number of financial advisers operating in the UK has risen slightly in the first half of the year, according to figures from the Financial Conduct Authority (FCA).

clock 15 August 2013 •

Regulation

FCA concerned about exec-only commission model

The Financial Conduct Authority (FCA) is concerned about execution-only, or non-advised, sales and the commission payments that such transactions are still allowed to collect.

clock 12 August 2013 •

Regulation

FCA cancels adviser's permissions after compulsory liquidation

The Financial Conduct Authority (FCA) has cancelled the permissions of insurance and mortgage broker Goldthorn Mortgage & Insurance Services following the liquidation of the company.

clock 07 August 2013 •

Regulation

FCA names director in charge of supervising advisers

The Financial Conduct Authority (FCA) has appointed four directors to lead key areas of its supervision division, with Nick Poyntz-Wright heading up its long term savings & pensions unit which includes oversight of wealth management services and investment...

clock 07 August 2013 •

PMI

A new market for advice

As the Care and Support Bill prepares for the House of Lords, Paul Robertson meets Partnership mananging director Chris Horlick for an update.

clock 31 July 2013 • 6 min read

Regulation

FCA finds restricted advisers operating under IFA banner

The Financial Conduct Authority (FCA) says firms are mostly adapting well to changes introduced following the Retail Distribution Review (RDR), but it has uncovered some problems, including firms describing themselves as independent but in fact choosing...

clock 25 July 2013 •
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