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FOS hits adviser for not monitoring client’s SIPP investments


The Financial Ombudsman Service has upheld a complaint against Sebastian & St James International Financial Advisers over a fall in one of their clients’ pension pots. The Client, who met another IFA who’s back in 2011, was advised to transfer his retirement funds into a SIPP: Self-Invested Personal Pension, amongst other things. But as part … Continued

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


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

Enquiries about SIPP and pension transfers increase AGAIN, says Ombudsman


Are you sat on a SIPP complaint? The FOS (Financial Ombudsman Service) has published figures that show a 59% increase in enquiries relating to Self-Invested Personal Pensions (SIPPS) in Q1: April – June 2017, along with a rise in complaints regarding pension transfers. The service which has the power to force companies to pay clients compensation … Continued

Are SIPP providers about to topple

4 SIPP providers fail FCA’s new rules on Capital Adequacy; what next?


Four regulated providers of Self-Invested Personal Pensions (SIPPs) have failed the Financial Conduct Authority’s new rules regarding Capital Adequacy, it has been revealed through a Freedom of Information request from New Model Adviser. The rules laid out by the financial services regulator, the FCA, became legitimate on 1 September 2016, and mean that those providers … Continued

IFA no-longer authorised was found at fault in 4 cases by the Ombudsman


Cheshire-based R W Harris Limited, an IFA that was previously authorised by the FCA under number 143856, had 4 Financial Ombudsman complaints against it upheld between July 2014 and April 2016, it has been revealed. All 4 of the complaints revolved around investments advised on by R W Harris Limited, some of which it is … Continued