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Latest - REGULATION / COMPLIANCE

  • FCA finds suitability failures in automated advice services

    29 May 2018

    Automated advice firms are falling short on suitability and service, a review by the FCA has found.  The regulator looked at seven firms offering automated discretionary investment management services and three firms providing investment advice exclusively through automated channels. The findings showed that service and fee-related disclosures at most online discretionary investment management firms...

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  • GDPR sparks 33% increase in advisers registering for secure email

    7 May 2018

    Growing data security awareness in the lead up to GDPR has seen advisers and their staff signing up to Origo’s Unipass Securemail service rise to 2,000 new registrations per month in March and April, a 33% rise on the normal number of sign-ups, the Fintech said.  Origo said the encrypted email service is provided free to...

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  • TDQ: Test Your Knowledge (May 2018 issue)

    26 April 2018

    Professional Paraplanner has teamed up with key training and exam support providers to help you in your training, development and qualifications. Here are the answers to this month’s TDQ: Test Your Knowledge questions, published in the May 2018 issue of Professional Paraplanner.   B CII R01 Study Text Chapter 5:2 A CII R02 Study...

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  • TDQ: Test your knowledge – questions (May 2018 issue)

    26 April 2018

    Professional Paraplanner has teamed up with key training and exam support providers to help you in your training, development and qualifications. Here are this month’s TDQ: Test Your Knowledge questions, published in the May issue of Professional Paraplanner.   These  questions relate to examinable Tax year 17/18, examinable by the CII until 31 August...

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  • Key points from the FCA Sector Views 2018 document

    24 April 2018

    The FCA published its 2018 Sector Views with a clear focus on client value, says ATEB Consulting’s Steve Bailey, who picks out key messages relating to Pensions and Investments. The FCA’s 2018 Sector Views has a clearly stated intention to focus on charges and client value and this is entirely consistent with what the FCA have...

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  • FAMR failing to close ‘advice gap’

    22 April 2018

    While the majority of advisers support the Financial Advice Market Review (FAMR) measures in theory, there is scepticism around the impact they’re having on the advice gap, according to a new survey by Aegon. The survey by the savings and investment provider found just one in seven (14%) of advisers felt the measures arising...

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  • LifeQuote details adviser GDPR policy

    17 April 2018

    LifeQuote has announced its GDPR policy for the time it will hold advisers’ electronic data and physical documents.  The firm said data held will be based on three categories of adviser clients: quotation only but no application, which will be held for one year; application made but no policy completed, which will be held...

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  • New paraplanner webinar series from Canada Life to tackle technical and tax issues

    8 April 2018

    Canada Life is launching a series of new webinars specifically designed to answer the most common and difficult questions facing paraplanners.  The company will be running three webinars over the next few weeks via its Paraplanner Academy. These will focus on achieving the right order of gifting, how to get the most from a...

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