FCA

Displaying items by tag: FCA

Thursday, 30 November 2017 11:37

FCA acts on unregulated firm promoting SIPP investments

The FCA has begun civil proceedings in relation to “alleged misleading statements” on pension investments by a lead generation firm called Avacade Investment Options.

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Friday, 15 September 2017 16:53

Xafinity backs FCA referral of investment consultants to CMA

Xafinity says it supports the announcement from the FCA this week that investment consultants - particularly those who advise pension trustees - are to be referred to the Competition and Markets Authority.

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Monday, 28 August 2017 15:57

Morrison: Transfers 'normalise' need for pensions advice

Mike Morrison Head of Platform Technical, AJ Bell

Many years ago (as some of the best stories begin) when I was working for Winterthur Life, I undertook a series of talks around the UK.

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Friday, 04 August 2017 10:32

Sipps tech manager: Will we get bold decisions from FCA on pensions?

The Financial Conduct Authority last month identified a number of pension areas where ‘intervention’ may be necessary following the introduction of the pension freedoms in April 2015.

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Wednesday, 26 July 2017 10:47

Mike Morrison: FCA DB transfer plans fail to cover contingent charging

I have just finished AJ Bell’s annual tour of the UK where a host of lucky advisers got to hear me talk about the current key pension issues.

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Thursday, 20 July 2017 10:22

FCA fines compliance officer over 500 DB transfers

The FCA has fined a compliance oversight officer for pension transfer failings after about 500 customers with pensions worth £12.7million were advised to move from a DB to DC scheme.

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Wednesday, 19 July 2017 10:18

New pension transfers qualification as FCA tightens rules

The Chartered Insurance Institute is preparing the launch of a new pension transfers qualification following FCA plans to tighten the advice requirements for the transfer of safeguarded benefits.

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Wednesday, 12 July 2017 12:42

AJ Bell wants better pensions disclosure regime

AJ Bell, the Sipp and investment provider, has urged the Financial Conduct Authority to make the disclosure regime for pension and investment products clearer.

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Wednesday, 12 July 2017 10:15

Pension freedoms may be causing new problems, warns FCA

Christopher Woolard, executive director of Strategy and Competition at the FCA.

The Financial Conduct Authority has identified a number of pension areas where ‘intervention’ may be necessary following the introduction of the pension freedoms in April 2015.

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Monday, 26 June 2017 12:41