The UK Financial Conduct Authority’s latest thematic review into how investment firms treat bereaved customers is another powerful reminder that consumer outcomes are increasingly being judged through the lens of vulnerability, empathy and operational culture, rather than simply regulatory process.
The FCA announced on 13 May 2026 that it ...
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CityWire reports that the sentencing of former Houston-area investment adviser Christopher Lopez to 10 years’ imprisonment over a US$17 million Ponzi scheme is another stark reminder that governance failures, weak oversight and unchecked conflicts of interest remain among the greatest risks in the investment industry. According to US authorities, investors ...
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The UK Financial Conduct Authority has banned former adviser Frank Breuer from working in financial services and imposed a fine of £755,000 following serious misconduct relating to defined benefit pension transfer advice. The FCA found that Breuer knowingly continued advising on DB pension transfers despite his firm, Bluesky Wealth ...
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By Lee Rossini
Clients no longer expect financial advice to be built around broad demographic assumptions or standard investment templates. They are seeking advice that reflects their personal ambitions, lifestyle choices, family structures, career paths, and changing attitudes toward work and retirement. Personalisation in financial advice is an expectation of today’s clients.
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