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The Financial Services Authority (FSA) has warned that firms must make sure any rebalancing of clients' portfolios is "entirely mechanical" unless they have discretionary permissions.
The Financial Services Authority (FSA) has told paraplanners they should challenge their financial advisers on suitability letters to help meet regulatory requirements and improve relationships with clients.
An "explosion" in regulatory costs is becoming a "huge problem" for networks and national advisory businesses, according to a director at Lighthouse Group.
Other News - Regulation articles
A financial adviser has been jailed for two years after swindling three women, including two elderly aunties, out of £312,000.
The Financial Services Bill has passed through to the House of Lords without any significant amendments affecting financial advisers, including the reintroduction of a long-stop.
The Financial Ombudsman Service (FOS) has warned that consumers are ignoring the risks around unregulated collective investment schemes (UCIS), even when they are spelled out by their advisers.
The increased workload from the mis-selling of Payment Protection Insurance (PPI) has left the Financial Ombudsman Service (FOS) with “a significant challenge”, the body has admitted.
The proportion of complaints referred to the Financial Ombudsman Service (FOS) relating to independent financial advisers (IFAs) is continuing to fall.
The Upper Tribunal has upheld the Financial Services Authority's (FSA's) decision to ban and fine two former UBS advisers £1.3m in relation to an unauthorised trading scheme.
Insurer Prudential is set to name Paul Manduca as its next chairman after a five-month search to replace Harvey McGrath, the Telegraph reports.
The Association of Independent Financial Advisers (AIFA) and the Association of British Insurers (ABI) is to co-host a roundtable event looking at how upcoming regulatory changes will affect IFAs.
The Financial Services Authority (FSA) is assessing the credentials of candidates from across three continents in its search for a new enforcement head to replace Margaret Cole.
The Financial Services Authority (FSA) has proposed a ban for Anthony Verrier, a senior executive at BGC Partners, after deciding he is not a fit and proper person due to concerns over his honesty, integrity and reputation.
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FSA warns firms about 'falling out of permissions' over rebalancing
TMP founder Morris takes to stand in GP Noble trial
Banks keep close eye on expat market
FSA tells paraplanners to challenge IFAs on suitability letters
This week's news... condensed