Cookies on Pinsent Masons website

This website uses cookies to allow us to see how the site is used. The cookies cannot identify you. If you continue to use this site we will assume that you are happy with this

If you want to use the sites without cookies or would like to know more, you can do that here.

FCA seeks to clarify what constitutes retail investment advice

Platforms that allow prospective investors to use 'decision trees' to determine what investments to make may be considered to be offering regulated advice to those clients in certain circumstances, the UK financial regulator has said. 14 Jul 2014

FCA says that it "does not want to stand in the way" of UK firms developing simplified advice models

The Financial Conduct Authority (FCA) has given its first indication that it is hoping to loosen regulatory restrictions on firms that provide "simplified" advice targeted at lower-value, non-sophisticated clients. 25 Apr 2014

Out-Law Guides

More guides

Many financial advisers failing to clearly detail the cost of their advice, says FCA

The majority of UK financial adviser businesses are failing to provide investors with sufficient information about the cost of their services, according to a study by the Financial Conduct Authority (FCA). 08 Apr 2014

Culture can ensure compliance is part of 'day to day business activity', says platform provider

Focusing business activity around delivering the best customer outcomes and not treating regulatory compliance as a "bolt on" task will help platform providers adhere to new rules which are due to take effect next month, an industry insider has said. 24 Mar 2014

More stories

Join My Out-Law

  • See only the content that matters to you
  • Tailor Out-Law to your exact needs
  • Save the most useful content for later reading
  • Tailor our weekly eNewsletter to your interests

Join My Out-Law

Already signed up to My Out-Law? Sign in