September 2017
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Latest - REGULATION / COMPLIANCE

  • Retirement Outcomes Review ramifications will be widely felt

    26 July 2017

    Martin Tilley, director of Technical Services, Dentons Pension Management is urging everyone to participate in the FCA’s Retirement Outcomes Review  Recently the Financial Conduct Authority (FCA) published the interim findings of its Retirement Outcome Review.  This is a study into the retirement income market and how this has changed since the introduction of pension...

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  • Bankhall launches new mortgage, protection and GI compliance solution

    20 July 2017

    Bankhall has launched a new enhanced compliance support solution for directly FCA authorised firms, with the aim of helping firms adapt to greater regulatory scrutiny in the mortgage, protection and general insurance (GI) market. The core package includes access to Bankhall’s regulatory experts and face-to-face compliance audits to help firms strengthen their systems and controls....

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  • FCA highlights three key areas for Platform Market Study

    18 July 2017

    The Financial Conduct Authority (FCA) has published the Terms of Reference for its Investment Platforms Market Study, which sets out the scope and topics that will be covered. The Regulator said the increased use of platforms by consumers and financial advisers to access retail investment products and to manage investments had seen a rise...

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  • ‘Self-employed’ gig economy workers could enter auto-enrollment

    17 July 2017

    Does the submission of food delivery service Deliveroo to the government’s review of employment practices hint at change in employment law around the self-employed? In  its response to the government’s review of employment practices conducted by Matthew Taylor Deliveroo said if employment rules are changed they would give their workers certain benefits including pensions, which...

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  • FCA Retirement Outcomes Review gives regulator “early view of areas to keep a close eye on”

    12 July 2017

    The FCA’s Retirement Outcomes Review was set up to identify how the retirement income market has changed since the introduction of the pensions freedoms in 2015. The review states that over one million defined contribution (DC) pots have been accessed since the reforms to the pensions rules, of which 72% have been accessed by consumers...

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  • AJ Bell calls on FCA to build new framework for point of sale information

    11 July 2017

    Information given to clients is complex, confusing and not fit for purpose, says the platform AJ Bell has written to Christopher Woolard, director of strategy and competition at the FCA, calling for the regulator to address what it describes as “the increasingly complex point of sale disclosure regime which is no longer fit for...

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  • Competition weak in asset management says FCA, as it announces remedies

    28 June 2017

    The Financial Conduct Authority (FCA) has published the final findings of its asset management market study and announced its package of remedies. The FCA says it has found that price competition is weak in a number of areas of the industry. The Regulator said that despite a large number of firms operating in the market,...

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  • Origo MD Paul Pettitt to exit not-for-profit after 28 years

    26 June 2017

    Origo managing director Paul Pettitt has announced he is to retire, stepping down from his role at the end of February 2018 after 28 years with the company, including 14 years as MD. Working with the Origo Board, Pettitt has driven the strategy that has resulted in Origo successfully transforming itself from its roots...

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