Regulation blamed for perceived fall in advisers' ability

2012_02_190010 bank regulation


Image by Gwydion M. Williams
An over-complex attempt at re-regulation

Regulation blamed for perceived fall in advisers' ability
Lifeplan has blamed the uncertain regulatory environment for a perceived drop in the technical ability of financial planners. According to the latest Lifeplan International Centre for Financial Services Financial Advice Satisfaction Index, clients of …
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How Will the FCA Protect Consumers of Financial Services?
First is that in the FSA, we were such a broad regulator, we tended to oscillate between prudential regulation during certain periods and conduct in the other. The benefit of the FCA is a single regulator focused on the conduct agenda. We are able to …
Read more on Morningstar

New SEC identity theft red flag regulations call attention to investment advisers
However, a little-noticed provision contained in the Dodd-Frank Act in 2009 extended the reach of the FCRA identify theft provisions to cover “financial institutions” regulated by the SEC and directed the SEC to promulgate rules to enforce them. So in …
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