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FCA

Adviser / Broking

National IFA chief calls for end to advice 'middle ground'

Chris Smallwood, the chief executive of Openwork-owned national IFA 2plan, has called on the regulator to crack down on what he said were 'misleading' terms used by some restricted advice firms to describe their services.

clock 03 March 2014 •

Adviser / Broking

BIBA 2014 Manifesto

The British Insurance Brokers' Association has launched its 2014 manifesto. Graeme Trudgill outlines its campaign targets

clock 26 February 2014 • 6 min read

Regulation

FCA board 'concerned' about its staff's rush to exit; mulls review into decision making

The executive board of the Financial Conduct Authority (FCA) is concerned about the rate at which its staff leave the organisation, and is also considering an independent review into its decision making processes, minutes of its latest meeting have revealed....

clock 18 February 2014 •

Adviser / Broking

More than 5,000 suspensions in financial services since crisis

More than 5,000 financial advisers, brokers and bankers have been sacked or suspended since the beginning of the financial crisis, according to Financial Conduct Authority (FCA) figures.

clock 11 February 2014 •

Regulation

Former adviser banned for fabricating SPS

A former investment adviser has been fined £19,900 and banned by the Financial Conduct Authority (FCA) for fabricating his Statement of Professional Standing by using a template he found online.

clock 30 January 2014 •

Technology

New underwriting systems - a review

Several new underwriting systems are coming to market, revolutionising the adviser's input. Ian McKenna looks at the details.

clock 29 January 2014 • 7 min read

Term Assurance

Term Assurance: Adding colour

Term assurance is the most black and white protection policy. Have we seen any colour in the market over the past year? Fiona Murphy investigates.

clock 27 January 2014 • 8 min read

Marketing

Bah humbug!

The interaction of protection products and the welfare state can throw up anomalies, but there are solutions. Nick Kirwan explains.

clock 21 January 2014 • 6 min read

Regulation

FCA tightens net on adviser inducements in final guidance

Advisers and providers share the burden of responsibility for managing potential conflicts of interest, the Financial Conduct Authority (FCA) has said in a guidance paper out today.

clock 16 January 2014 •

Regulation

Advisers have benefited from RDR - Wheatley

Advisers have generally benefited from the Retail Distribution Review (RDR) as their revenues have increased and they are more professional and better qualified, Financial Conduct Authority (FCA) chief executive Martin Wheatley has said.

clock 14 January 2014 •
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