Category Archives: Regulation

Adviser Charging, Client Agreements and that FSA letter: Part 2

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The amount of mis-information seems to increasing not decreasing on this subject. Following the FSA’s letter to providers, on which I commented last week, there have been plenty of platforms and providers offering advice to advisers on what they need … Read More →

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Posted on 02/11/12

Adviser Charging and that FSA letter

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This week the regulator issued a Dear Compliance Officer letter to platforms and providers regarding the provision of Adviser Charging facilities. The thrust of FSA’s letter is very clear. We expect all platforms and providers to introduce processes to check … Read More →

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Posted on 25/10/12

Independent – What’s in a Name?

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There is still a lot of confusion and concern amongst firms around whether to be an independent or restricted advice business post RDR. The decision is going to be a fairly subjective one for most firms, and for that reason … Read More →

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Posted on 29/02/12