Regulation & Compliance
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Newly Born, And 30 Years Late For a Pension
Bless its little cotton socks. What that new baby really needs for a christening present is a time travel ticket back to…
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AIC Roadshow – Bringing It All On Home
It’s not something that every adviser is keen to admit, but 18 months after RDR there are still a few nagging doubts…
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FCA Listens
The FCA has published its 2013/14 Annual Report and says it will use the “…eyes and ears of consumers…” to keep a…
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Attestations – A New Worry
Watch Your Back, Says compliance specialist Lee Werrell. The Regulator’s Toughening Up On Affirmations by Directors and SIFs Last year the FCA…
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Robin Hood and the FCA: A Financial Fairy Tale
Would Robin Hood be a payday lender? Ofer Valencio Akerman, a corporate turnaround specialist, pushes the case for the defence to the limit.…
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Disclosure – Clarity Please
The FCA’s latest review into disclosure doesn’t shed any new light, says Compliance Consultant Lee Werrell. Surely enough is enough? You’d think…
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AIFMD – Red Tape Alert
Time is running out for alternative fund managers to submit their applications under the new AIFMD legislation, says Nick Sudbury. But the…
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PS 14/4: Linguistic Lunacy
Compliance Consultant Lee Werrell says that PS14/4, on the FCA’s Regulatory Approach to Crowdfunding over the Internet, is taking the terminology into…
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As an IFA business, Castle Court had come to a crossroads
The increasing regulatory and administrative burden in the IFA sector, coupled with an uncertain future post-RDR, prompted the three Partners of Cardiff-based…
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FCA: No More Mr Nice Guy
Say Goodbye to the Cuddly Regulator, says Lee Werrell. It’s All About Enforcement Now. PS14/1: Distribution of Retail Investments: Referrals to…
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