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Two problems with CP11/26
The Financial Services Authority (FSA) has published a new Consultation Paper this morning, proposing rules for the treatment of commission […]
Julia Docker
Nov 16, 20112 min read
Bad advice from banks
New research from Which? has found that only 13% of banks give suitable investment advice. The study found that banks […]
Julia Docker
Nov 16, 20112 min read
Does your IFA have a Statement of Professional Standing?
From the end of next year, all financial advisers are required to hold a Statement of Professional Standing in order […]
Julia Docker
Nov 9, 20112 min read
An investment case study
Robert and Penny have had some historically poor experiences of investing their money. Their previous adviser was very keen on […]
Julia Docker
Nov 7, 20112 min read
No delay to RDR implementation
The Financial Services Authority (FSA) response to the Treasury Committee makes it clear that implementation of the Retail Distribution Review […]
Julia Docker
Nov 5, 20112 min read
There is no such thing as free advice
Recently there has been some debate amongst our peers on the subject of “free advice”. In fact there really is […]
Julia Docker
Oct 28, 20112 min read
Always read the small print
The Financial Services Authority (FSA) is launching a consultation to introduce new rules on the sale by banks and building […]
Julia Docker
Oct 27, 20112 min read
Structured products and suitability
The Financial Services Authority (FSA) has fined Credit Suisse for systems and controls failings relating to sales of structured products. […]
Julia Docker
Oct 25, 20112 min read
Implementing the Retail Distribution Review
With new regulations being introduced at the end of next year, as part of the FSA Retail Distribution Review, we […]
Julia Docker
Oct 22, 20111 min read
10 Questions You Should Ask Your Financial Adviser
We have today published a new briefing note, describing the ten questions you should ask your financial adviser. This briefing […]
Julia Docker
Oct 13, 20111 min read
Wills, Divorce & Criminal Defence from Tesco?
The new Legal Services Act comes into force today, allowing non-lawyers to own businesses offering legal services to consumers in […]
Julia Docker
Oct 6, 20112 min read
Tougher ETF regulation?
BlackRock has backed calls for tougher regulation of Exchange Traded Funds (ETFs). The Financial Times has reported that BlackRock wants […]
Julia Docker
Oct 5, 20111 min read
RDR? It’s a mystery to me
New research from YouGov has found that only one in twenty investors are knowledgeable about the upcoming regulatory changes being […]
Julia Docker
Oct 4, 20112 min read
A typical client journey
We always follow a six-step approach to helping our clients to achieve their financial planning goals and objectives. We thought […]
Julia Docker
Oct 2, 20112 min read
Build, Manage & Protect Your Wealth
Our ‘strapline’ as a firm of Chartered Financial Planners is that we work with individuals, trustees and business owners to […]
Julia Docker
Sep 30, 20112 min read
How do we do it?
If you came to our office, you would not be surprised to discover that we are diligently working away on […]
Julia Docker
Sep 28, 20112 min read
Difficult conditions, great service
I witnessed the most impressive form of customer service on Saturday evening. My wife Andy and I attended the first […]
Julia Docker
Sep 27, 20112 min read
Accredited professional bodies & your financial adviser
The Financial Services Authority (FSA) has this week started to award formal approval to several accredited professional bodies. This is […]
Julia Docker
Sep 27, 20112 min read
Transparency is the future
My latest Best Advice column was published this week by Money Marketing magazine, looking at the breakdown of costs when […]
Julia Docker
Sep 22, 20113 min read
The importance of Systems & Controls
The current ‘rogue trader’ story at investment bank UBS is likely to raise serious questions about their Systems and Controls […]
Julia Docker
Sep 16, 20112 min read
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