fsa fines ifa for third time
The FSA has fined Julian Harris, owner of a Kent-based IFA business with the same name, for a third time for failing to perform adequate due diligence before appointing advisers.
IFA
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two arrested in fsa probe into unauthorised fas
The FSA has led an investigation into unauthorised financial advisers, leading to two arrests in the West Midlands.
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investment club helps smaller firms punch above their weight
As Crispin Odey’s visit to Harrogate proves, investment clubs are a great way for smaller IFAs to attract big name fund managers to their region.
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PA ANALYSIS: One anniversary to celebrate, another to lament
A look back at pre and post the global downturn reveals there are still lessons to be learned.
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PA ANALYSIS: RDR could limit advice not increase it
Advised sales are falling and with RDR still to come this proportion could continue to fall.
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Sales figures down for investments sold with advice
The proportion of retail products sold with advice declined by 2% from 2009/10 to 66% in 2010/11.
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North gears up for new IFA mandates ahead of RDR
Added resource at North will improve fund research and risk monitoring ahead of new IFA mandates.
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IFA outsourcing to rise ahead of RDR start
IFAs are expected to increase outsourcing client portfolios to discretionary managers ahead of RDR
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IFA business completes £1.8m floatation
A Midlands-based IFA and discretionary firm has successfully listed on the Plus exchange.
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Perspective acquires two more IFA firms
IFA consolidation vehicle Perspective has acquired two further IFA firms.u
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Survey: 60% of advisers say RDR won’t improve advice
Almost 60% of advisers do not believe RDR will improve the quality of advice, according to Skandia.
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London & Capital: IFAs will be caught out by DFM changes
London & Capital’s Richard Leigh says the smaller IFA “will be caught out” by DFM changes.
