Latest News & Blog

"Singing loudly over FSCS funding consultation" "Singing loudly over FSCS funding consultation"

10 Mar 2017 Ken Davy

In 1959, It’s Now or Never was a massive hit for Elvis Presley, selling more than 5m records and it is no exaggeration to say that it is now or never for you to have your say on how the FSCS is funded.

"The thorny issue of picking a finance body name" "The thorny issue of picking a finance body name"

02 Mar 2017 Ken Davy

In Romeo and Juliet, Shakespeare wrote the immortal line: “A rose by any other name would smell as sweet.”  

Smarter Consumer Communications: Removing ineffective disclosure requirements in our Handbook Smarter Consumer Communications: Removing ineffective disclosure requirements in our Handbook

28 Feb 2017 Liz Coyle

In October last year, the Financial Conduct Authority (FCA) produced policy statement PS16/23, ‘Smarter Consumer Communications: Removing ineffective disclosure requirements in our Handbook’, which outlined a number of changes it would be making surrounding communications.

Richard Nuttall: Enigma! Decoding the upcoming capital adequacy requirements Richard Nuttall: Enigma! Decoding the upcoming capital adequacy requirements

24 Feb 2017 Richard Nuttall

Although new changes to the capital adequacy rules do not take effect until 30 June, Richard Nuttall strongly recommends firms review their financial position at the earliest time possible in case action is needed.

"Tory change of attitude is heart of the matter" "Tory change of attitude is heart of the matter"

22 Feb 2017 Ken Davy

Going head-to-head with one’s editor – in my case the knowledgeable and dynamic Emma Ann Hughes – is always somewhat high risk. However, on this occasion, it is a risk I have to take.  

"FCA needs to find a fairer way to fund the FSCS" "FCA needs to find a fairer way to fund the FSCS"

20 Feb 2017 Ken Davy

Is there light at the end of the tunnel for financial advisers or is it just another train heading towards us?

The real value of robo-advice to advisers The real value of robo-advice to advisers

15 Feb 2017 Matt Timmins

Although it has been just over two years since the UK financial services market began to discuss robo-advice with any seriousness, the term has fast become part of our shared vernacular.

FCA implements SMR principles to govern all firms FCA implements SMR principles to govern all firms

09 Feb 2017 Ken Davy

The FCA is already applying the SMR to major financial institutions, and anticipates extending them to smaller firms, including IFAs, in 2018.

Advisers brand Mifid call recording 'step too far' Advisers brand Mifid call recording 'step too far'

08 Feb 2017

European Union requirements for adviser firms to record all client telephone calls have been branded a 'step too far' by members of the New Model Business Academy.

"'Voluntary agreement' has implications for FSCS" "'Voluntary agreement' has implications for FSCS"

02 Feb 2017 Ken Davy

Even when the subject matter of my weekly column is quite serious, I generally begin with a somewhat light-hearted anecdote. 

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Latest News

"How turning a blind eye got us to where we are now"

July 18, 2018

It was not many years ago when it became virtually impossible for anyone to obtain PI cover at a reasonable premium. Such was the crisis that the then regulator, the FSA, turned a blind eye to the fact that over a thousand firms were trading without PI insurance.

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How to help clients create a lasting power of attorney - CPD article

July 16, 2018

Buzz Aldrin’s recent decision to sue his family for mismanagement of his finances has, quite rightly, reminded advisers across the pond that those appointed to make decisions on a client’s behalf need to be selected with the utmost care.

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Global markets are set up for stock pickers, say industry heavyweights at SimplyBiz Group Advice Show

July 10, 2018

Geopolitical changes are creating the ideal investment environment for stock pickers, according to industry experts speaking at the most recent Advice Show.

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"Hello, have you been mis-sold an accident claim?"

July 05, 2018

I am sure you will have been delighted to note that, at long last, the Financial Conduct Authority (FCA) is going to formally regulate the ambulance chasers.

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