Client referrals and pension transfers were seen as the biggest opportunity areas by financial advisers in 2019, according to a survey by fintech Intelliflo.

The Pensions Regulator has published new guidance on investment governance rules.

A pre-school nursery and its main director have been ordered to pay £8,200 for failing to comply with their pension duties and for misleading The Pensions Regulator (TPR) by falsely claiming staff had been put into a pension.

The FCA has issued a warning over a New York-based advice firm, which, it says, is operating in the UK without authorisation.

Trade association PIMFA, which represents 1,000 investment managers and financial advisers, has called on the FCA to “raise the bar” instead of banning contingent charging. 

The trustees of hundreds of pension schemes are to be ordered to urgently review the data they hold as part of a crackdown on poor record-keeping.

Regulatory issues and compliance are the main headaches for CEOs working in financial advice and wealth management, according to a survey by trade body PIMFA.

The Pensions Regulator (TPR)has hailed the implementation of its “clear, quick and tough” approach.

The Pensions Regulator (TPR) has issued new guidance on DC investments.

Fintech and regtech firm Money Alive has revealed Tilney is the latest firm to adopt its Adviser Portal product to use as part of their Defined Benefit (DB) pension review process.