adviser firms

The FCA's five key tests for investment advice

Advice firms have raised fears over "systemic mis-selling" through simplified advice and said ongoing regulatory uncertainty has stifled market developments, according to the FCA.

The Financial Conduct Authority (FCA) has laid out for firms what it views as the differences between ‘information' and ‘investment advice' - and when information can be advice.

The Financial Conduct Authority (FCA) is consulting on guidance to clarify the boundaries between different investment advice models, such as simplified, or automated, advice.

Zurich has overhauled its platform fee structure and announced a cut in its initial investment charge for all clients.

The Retail Distribution Review (RDR) has resulted in a small number of gatekeepers at financial adviser firms, investment platforms, discretionary and wealth managers steering more money into fewer, bigger funds, new research has suggested.

The Financial Conduct Authority (FCA) has published a guide revealing how it will measure advisers' disclosure efforts against its expectations, after it detected "unacceptable" shortcomings in its latest post-Retail Distribution Review (RDR) work.

Adviser support group Aim Two Three is launching a discretionary fund manager (DFM) comparison tool.

A financial adviser has been jailed for three years after admitting 13 counts of theft from his pensioner clients.

The number of complaints from self-invested personal pension (SIPP) savers dealt with by the financial Ombudsman rose almost 50% last year, with most gripes linked to recommendations to invest in unregulated investment schemes, according to a report....