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Investment firms caught

Revealed: 25 investment managers receive FCA action as others are told to rein in Appointed Representatives to avoid pension scams

11/06/2017

Request for information reveals that the FCA dished out 25 “Section 166” reviews in 2016 FCA tells firms to “ramp up” due diligence on their Appointed Representatives What these actions mean for customers A Freedom of Information Request to the Financial Conduct Authority has revealed that the regulator issued 25 “Section 166” reviews against financial … Continued

FCA targets

Why is FCA is targeting Financial Advisers that recommend high-risk investments?

10/31/2017

The FCA may be refocusing their attention on certain financial advisers FCA to look into advisers recommending high-risk investments What is a UCIS? Why does it matter? FCA Director of Policy David Geale has said that financial advisers that recommend unregulated investments could be in the regulator’s scopes from 2018. The Financial Conduct Authority has … Continued

What is a non-standard asset?

FCA probes SIPP providers about number of non-standard investments – what does it mean for your pension?

10/17/2017

Has high-complaints driven the FCA to weigh up options about mis-sold pensions? Regulator asks SIPP providers to show their cards Non-standard investments focal point on investigation What IS a non-standard Investment? Could you be effected? The Financial Conduct Authority has asked all providers of Self-Invested Personal Pensions (SIPPs) to reveal the details of any non-standard … Continued

Designed 4 Life Ltd data bought by previous directors as claims continue

10/17/2017

Former directors of Designed 4 Life Ltd buy client data from liquidator Can old client’s expect a call? FSCS pays out over £500k for Designed 4 Life Advice Phoenixing? Are you entitled to make a claim? The former directors of liquidated advice firm Designed 4 Life have bought the company’s client data from the liquidator, … Continued

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