regulation
Displaying items by tag: regulation
Friday, 13 May 2016 11:53
Pensions freedoms 'potential trigger for future mass mis-selling'
The pension freedom reforms are a “potential trigger for future mass mis-selling”, MPs have warned.
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Monday, 25 January 2016 11:47
FCA will use full powers to enforce cap ad changes
A Sipp expert has questioned whether the FCA has the resources to police the new capital adequacy rules taking effect in September and what punishments firms failing to meet the requirements will face.
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Wednesday, 13 January 2016 11:28
Sipp advice lands boss in hot water with FCA
An advisory firm chief executive has been handed an official warning notice by the FCA over Sipp related advice.
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Friday, 04 December 2015 16:15
FCA publishes ‘watered down’ Sipp rule changes
The FCA has published what it called ‘minor changes’ to its new capital adequacy rules this afternoon – with one expert saying the original proposals had been ‘watered down’.
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Monday, 30 November 2015 11:04
‘Improper' Sipps switching sparks FCA probe
Several advice firms are braced for FCA punishments after consumers were advised to switch their mainstream personal pensions into Sipps through ‘improper delegation’ to unauthorised firms.
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Thursday, 17 September 2015 12:23
4,000 face 40% or higher pension exit fees
A leading pensions expert says the number of people found to be facing exit charges in a major FCA study is ‘significant’ - despite being lower than many might have expected.
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Wednesday, 16 September 2015 12:09
Pension reforms: FCA finds many firms refusing insistent clients
Nearly a third of firms have told the FCA they always refuse transfers from insistent clients.
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Friday, 28 August 2015 10:46
Troubled Sipp providers hold talks with Mattioli
A director at Mattioli Woods has confirmed his firm is holding talks with troubled Sipp providers and the FCA to look at possible solutions ahead of the revamped capital adequacy rules taking effect next year.
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Friday, 24 July 2015 12:25
Fines worth £169,000 issued for auto-enrolment failings
Fines worth just under £170,000 were handed out to firms for auto-enrolment failings in the 12 months from April 2014.
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Wednesday, 10 June 2015 12:20
Pension transfer specialist rule changes increase complexity
Rule changes to make advising on the transfer of safeguarded pension benefits into flexible benefits a regulated activity could lead to further up skilling in the industry, a pensions expert believes.
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