Regulation and Compliance
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FCA investment pathways well received but vital work remains to help pension savers – Quilter
In response to the FCA’s publication, ‘Investment pathways: Post-implementation review’, Jon Greer, head of retirement policy at Quilter has commented. He said:“How you…
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FCA enforcement activity drops in last financial year
FCA enforcement activity against both firms and individuals fell in the last financial year, ending 31st March 2023, according to the findings of…
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FCA issues statement setting out expectation for fair and competitive saving rates after meeting with banks
The meeting which the FCA held with leaders of the UK’s major high street banks certainly stirred interest across the financial services sector…
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Working smarter not harder Part 2: A Q&A with HRComply’s Neil Herbert on how the use of technology can boost advisers’ compliance and regulation activities
IFA Magazine’s recent reader survey, carried out in conjunction with specialist T&C and People Compliance platform, HRComply, revealed that advisers have real…
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Investment Association (IA) responds to FCA reforms
Galina Dimitrova, Director of Investment and Capital Markets at the Investment Association (IA), has responded to the FCA’s further reforms to improve…
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Regulatory outlook: the chancellor’s Mansion House speech and small pot consolidation – AJ Bell
The following outlines key regulatory and legislative activity impacting on the UK personal finance, pensions and financial planning industry in the coming…
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Financial regulator sets out further reforms to improve markets and bolster competitiveness
A series of measures to help strengthen the UK’s leading position as a global and vibrant financial centre have been announced by…
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Unsustainably Sustainable: Regulators’ ‘Greenwashing’ crackdown may bring environmental disputes further to the forefront, say legal experts
Following news that the Advertising Standards Authority has prohibited adverts from several large oil and gas companies (including Shell, Repsol and Petronas) in…
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Working smarter not harder: how technology is helping advisers with growing demands of compliance and regulation
IFA Magazine’s recent reader survey, carried out in conjunction with specialist T&C and People Compliance platform, HRComply, revealed that advisers have real…
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Crowther Mediation founder sees MIAM as a major component in improving the judiciary system
Nicola Crowther, founder of Crowther Mediation, explains the importance of a Mediation Information and Assessment Meeting (MIAM) and the value of strengthening…
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