Displaying items by tag: regulation
Wednesday, 07 June 2017 11:33
Regulator sends in compliance inspectors to firms
Inspectors from the The Pensions Regulator have been sent to visit businesses in the Greater Manchester area as part of investigations into compliance.
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Wednesday, 15 February 2017 12:19
Senior regulator wants ban on SSAS pension transfers
An executive director at The Pensions Regulator has called for pension transfers to SSAS to be banned.
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Tuesday, 13 December 2016 12:07
FCA warns pension firms over high cost risks found in review
The FCA’s chief executive has warned some pension providers they must take action quickly after the regulator found customers were still at risk of high costs and charges.
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Thursday, 01 December 2016 11:48
CEO to get ban over 'unsuitable' Sipp-related advice
An adviser is set to be banned and fined over 'unsuitable' advice related to switching pension funds via Sipps into unregulated investments.
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Friday, 14 October 2016 10:31
Guest column: Sipp illustrations that just don’t illustrate
In six months’ time, April 2017, all Sipp providers will need to have changed their illustration systems so that they show the margin they retain on cash holdings, writes Elaine Turtle, director of DP Pensions.
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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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