Regulation and Compliance
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As an IFA business, Castle Court had come to a crossroads
The increasing regulatory and administrative burden in the IFA sector, coupled with an uncertain future post-RDR, prompted the three Partners of Cardiff-based…
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FCA: No More Mr Nice Guy
Say Goodbye to the Cuddly Regulator, says Lee Werrell. It’s All About Enforcement Now. PS14/1: Distribution of Retail Investments: Referrals to…
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FCA Publications – January to March 2014
The following abbreviated summary of FCA publications and announcements has been compiled by IFA Magazine, based on information published on the FCA’s…
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Guidance? What Guidance?
Brian Tora is bemused by Mark Carney’s sudden attack of pragmatism Quite a number of phrases have crept into the lexicon…
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Playing Currencies for Safety
Ever wondered exactly what goes on when you organise a currency hedge? Laura Parsons from Tor FX explains In this age…
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Alliance Trust Prepares to Forget Auld Acquaintance
Andrew Sullivan says some providers are querying the wisdom of keeping all your Scotch eggs in one basket Given the lack of certainty…
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The Martians are Safe from Us
Nick Samouilhan, Multi-Asset Fund Manager at Aviva Investors, says that when we talk about risk, we need to be very clear about…
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FCA Publications – July to December 2013
Important: The following abbreviated summary of FCA publications and announcements has been compiled by IFA Magazine, based on information published on the…
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Compliance: Integration, Integration, Integration
Lee Werrell, Managing Director of CEI Compliance Ltd, says this year will bring challenges of integration to the FCA. Not least, in the…
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Complex Products – A Kick Up The ESMA
ESMA tells firms to improve their selling practices for complex financial products Just weeks after the finalisation of the MiFID II negotiations…
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