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Weekly Updates

John Lappin

Our Industry Commentator with his top news links each week.

Industry News

Featured

FCA is seriously going for growth

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Featured

Amber River up for sale among big shifts for consolidators

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19 May 2019

Advisers frustrated at failure to catch the bad guys

It seems only to fair to ask whether we are in the midst of a regulatory crisis. There has been a constant stream of bad news regarding missales and bad behaviour. Advisers’ patience may be running out with what seems to be the FCA's inability to catch the bad guys until it is too late.

12 May 2019

Advisers angry at suggestions FSCS may pay out on unregulated mini-bond

Advisers are deeply unhappy at reports that the FSCS is looking at ways to compensate savers in collapsed London, Capital & Finance mini-bonds as the BBC reported in the middle of last week.

06 May 2019

Will regulatory cooperation on phoenixing produce results?

This is very important if arguably rather late in the day – the regulator has confirmed it is working with the Financial Services Compensation Scheme, the Financial Ombudsman Service, the Insolvency Service and Scotland’s Accountant in Bankruptcy to collate and share data on individuals and companies to combat phoenixing. If this produces results, it would be excellent news.

29 April 2019

Doctors call for pensions reform

The British Medical Association has called for urgent reform of the NHS pension scheme suggesting that the current taxation rules have created a perfect storm encouraging doctors to retire early.

21 April 2019

Anger as IFA who left big comp bill now acts as claims chaser

An adviser whose firm went into liquidation and has prompted £11m of payouts from the Financial Services Compensation Scheme is now running a claims management company as FTAdviser reports.

14 April 2019

Another Dear CEO letter but is it enough?

The FCA has written a Dear CEO letter warning firms which validate financial promotions under the Section 21 rules to be careful they understand the product and the target market.

07 April 2019

Concerns about the PI deadline

There is a lot a debate about PI and the market hardening, a story covered very skilfully by Professional Adviser. The website relates that advisers insured with Collegiate are set to miss the PI deadline partly due to issues with cover for Defined benefit transfers.

31 March 2019

FCA offers flexibility on PI unlikely to assuage adviser concerns

The FCA management team sound like they are just back from an away day at Cold Comfort farm. The FCA regulator says it will approach things flexibly if firms struggle to get PI insurance due the the FOS limit changes.

24 March 2019

Ken's big move into research and ratings

One gets a feeling that there is a bit of a reshuffle going on in terms of distribution in retail financial services. It isn’t reflected in lots of takeovers but there are still some very interesting deals and reorganisations happening.

17 March 2019

Call for bigger FSCS payouts

The outgoing chief executive of the Financial Services Compensation Scheme Mark Neale wants to see a significant rise in the payments made by the FSCS suggesting that no investor should lose out a significant proportion of their pension as a result of misselling.

10 March 2019

FOS limit to soar from April and IFAs are not happy

Confirmation of some really bad news for IFA businesses. The FCA will allow the amount clients can claim from the FOS to rise to £350,000 from April. There has been a huge backlash among many IFAs. The main concern is the impact on PI bills.

03 March 2019

More FCA ire about fee disclosure by fund managers

The FCA has called on advisers to inform their PI insurers if they face any DB transfer complaints and reminded firms that they are responsible for ensuring their PI is up to date. It is a little odd but in the same document the FCA tells former British Steel pension scheme members what to expect if they make a complaint to their adviser including how long they should wait - eight weeks - before contacting the FOS.

24 February 2019

Lloyds/Schroders wealth business announces a hiring spree

Lloyds plans to hire 700 wealth advisers in its new business JV with Schroders. Much speculation about whether the business will seek to emulate SJP. It will be very interesting to see how this develops and whether it can plough its own but still profitable furrow.

17 February 2019

A broken platform market?

The stark difference between big inflows into Aviva and its post-replatforming poor service show a broken platform market according to research from consultancy the Lang Cat.

10 February 2019

Adviser raises cash to challenge FCA over transfer actions

It feels as if the IFA sector will be grappling with the fallout from the pensions transfers debacle for a very long time.

03 February 2019

FCA finalises big changes to EO drawdown rules but will it impact advisers?

This week saw the publication of the Retirement Outcomes Review final rules and a consultation on the pathways designed to steer execution only retirees into making better decisions.

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