MIFID

FCA to conduct 'holistic review' of the advice and guidance boundary

Adviser / Broking

FCA to conduct 'holistic review' of the advice and guidance boundary

Review aims to understand how to reduce the regulatory burden

clock 27 September 2022 • 3 min read

Regulation

Government to change financial advice definition for regulated firms

With effect from 3 January 2018

clock 28 February 2017 • 3 min read

Adviser / Broking

APFA calls for 'common sense' approach to MiFID II

The Association of Professional Financial Advisers has called for the Financial Conduct Authority (FCA) to take a ‘common sense' approach to telephone recording.

clock 28 May 2015 •

Adviser / Broking

Advisers could be caught in MiFID II 'appropriateness' testing

Advisers could be forced to collect and share client information on non-advised business with providers under new rules mooted by the Financial Conduct Authority (FCA).

clock 13 May 2015 •

Regulation

Lords committee backs Europe-wide ban on commission

A House of Lords committee has called for a ban on commission payments to financial advisers across Europe, regardless of their status.

clock 10 July 2012 •