Regulation

Adrian Boulding: Will investment pathways lead more people to advice?

Are FCA-mandated investment pathways set to demystify the 'dark arts' of retirement income or will personalised advice from an actual human win out?

FCA contacts adviser over firm’s ‘low’ number of DB transfers

An adviser has received a letter from the Financial Conduct Authority (FCA) that suggested it was concerned the firm does not carry out enough defined benefit (DB) transfers.

Lisa Webster: Forgetting the ‘far from perfect’ taper

Lisa Webster looks at whether people are really 'forgetting' to declare the annual allowance charge in their dealings with HMRC...

Threesixty launches guide to help advisers respond to FCA’s DB transfer letter

Compliance provider threesixty has released a guide for adviser firms on how to respond to the FCA letter regarding pension transfer advice.

Labour and Lib Dems reveal manifesto pension and tax policies

The 2019 general election will take place on 12 December and within the last 24 hours both the Liberal Democrats and Labour have released their party manifestos.

FSCS clocks up 733 Berkeley Burke SIPP claims

The Financial Services Compensation Scheme (FSCS) has received more than 700 claims against Berkeley Burke SIPP Administration (BBSA).

FCA fines Henderson £1.9m over ‘closet trackers’

The FCA has fined Henderson Investment Funds Limited (HIFL) nearly £1.9m for overcharging retail investors in its Henderson Japan Enhanced Equity and the Henderson North American Enhanced Equity funds.

Lisa Webster: Are independent governance committees value for money?

Lisa Webster looks at independent governance committees linked to drawdown investment pathways. She has her fingers crossed the regulator takes a measured approach in its awaited consultation response.

DB scheme trustees required to check up on adviser transfer permissions

Defined benefit (DB) trustees are now required to contact financial advice firms to ensure staff providing advice to members are fully compliant before carrying out a transfer exercise.

Greg Kingston: The uncomfortable history of SIPP regulation

Greg Kingston takes a detailed look at the 'uncomfortable' history of SIPP regulation and says the regulator’s understanding of providers and the wider industry continues to evolve.
 

Popular articles

Lighthouse letter to client admits DB advice ‘technical error’

Lighthouse Group admitted to making a “minor technical error” in its advice given to British Steel workers to transfer their DB pensions.