Regulatory issues and compliance are the main headaches for CEOs working in financial advice and wealth management, according to a survey by trade body PIMFA.

Law firm Clifford Chance has unveiled SMCR Manager, a digital tool which will support the forthcoming SMCR compliance regime for firms FCA-regulated firms.

The way unregulated investments are presented to consumers is a ‘disgrace’, the chairman of a compliance firm says.

A Financial Conduct Authority conduct risk specialist has left the regulator for a consultancy firm which helps advisers with compliance.