A new online resource has been launched to help advisers through the ‘minefield’ of due diligence on platforms.
Read more ...New platform due diligence adviser service after FCA report
- Friday, 12 May 2017
- Articles
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Regulator begins company name and shame operation
- Friday, 12 May 2017
- Articles
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The Pensions Regulator has begun a name and shame operation to show which companies are failing to comply with auto-enrolment.
Read more ...Percival: 7 months to ensure risk profile tools ‘fit for purpose’
- Wednesday, 10 May 2017
- Articles
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Ex-regulator Rory Percival has warned Financial Planners they have just 7 months to ensure the risk profile tools they use are ‘fit for purpose’.
Read more ...'Vendetta' claim adviser loses appeal against FCA ban
- Friday, 28 April 2017
- Articles
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An adviser convicted of theft has lost his court appeal against an FCA ban despite claiming there was a ‘vendetta’ against him.
Read more ...Percival to reveal 'good and ugly' risk profile review results
- Friday, 28 April 2017
- Articles
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Rory Percival, the former FCA technical specialist, is set to reveal the results of his review into the risk profiling tools market.
Read more ...Rory Percival gives 400 advisers and planners risk profile review
- Friday, 28 April 2017
- Articles
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Rory Percival, the former FCA technical specialist, is set to reveal the results of his review into the risk profiling tools market tomorrow.
Read more ...400 planners, Paraplanners, advisers head to event today
- Friday, 28 April 2017
- Articles
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About 400 Financial Planners, Paraplanners, advisers, and wealth managers are attending the Morningstar Investment Conference UK, which began this morning.
Read more ...Percival: Capacity for loss practices 'very poor'
- Friday, 28 April 2017
- Articles
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Rory Percival, the former FCA technical specialist, says practices around capacity for loss are “frankly very poor” among many firms – perhaps the majority.
Read more ...Over 3 million complaints reported to the FCA by firms
- Wednesday, 26 April 2017
- Articles
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The total number of complaints reported to the FCA by firms in the second half of 2016 was 3.04 million.
Read more ...FCA complaints league tables show leading offenders
- Wednesday, 26 April 2017
- Articles
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The firms which had the most complaints registered against them relating to pensions and decumulation were revealed today by the FCA.
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