Displaying items by tag: regulation

Close to two thirds (61%) of Financial Planners believe pension and retail investment products will see a boost from the FCA’s new Consumer Duty.

John Moret is one of the UK's leading pensions and SIPP experts and commentators. As he enters his 75th year, still working part-time, he continues his series of articles looking back at his long career and key topics which have steered the pensions sector. In this second article he reviews the impact of the 'Dear CEO' letter the FCA sent to SIPP firms recently and what it means for regulation.

The FCA has ordered Newcastle-based wealth manager WealthTek Limited Liability Partnership to cease all regulated activities following the discovery of regulatory and operational issues.

The UK’s key financial regulators, the FCA, PRA and Treasury have today launched a sweeping review of the Senior Managers and Certification Regime (SM&CR).

The Pensions Regulator (TPR) has recruited experienced regulator Nausicaa Delfas to be its new chief executive.

The FCA is to impose additional checks on firms approving financial promotions.

The demise of Rowanmoor Personal Pensions this week comes as no surprise.

The Financial Conduct Authority (FCA) has issued warnings over two firms offering financial advice without its authorisation.

New emergency asset retention rules from the Financial Conduct Authority (FCA) have been applied to 101 firms who provided pension transfer advice for former British Steel Pension Scheme (BSPS) members.

SIPP industry veteran John Moret has called on the Treasury to review and rewrite SIPP regulation, saying the current framework is ‘a mess and not fit for purpose’.