FCA Regulation

Topics

FSA to relaunch review of FSCS funding FSA to relaunch review of FSCS funding by	1 replies 6 views 0 likes	Anonymous 3 Oct 2011
Have a read of this! FSA bosses' expenses revealed Have a read of this! FSA bosses' expenses revealed by	5 replies 132 views 0 likes	Anonymous 29 Sep 2011
Treasury clashes with FSA over Northern Rock bid Treasury clashes with FSA over Northern Rock bid by	1 replies 8 views 0 likes	Anonymous 29 Sep 2011
FSA muscles into board meetings of high-risk firms FSA muscles into board meetings of high-risk firms by	1 replies 12 views 0 likes	Anonymous 29 Sep 2011
Consumer panel demands FSA disclosure Consumer panel demands FSA disclosure by	1 replies 10 views 0 likes	Anonymous 28 Sep 2011
FSA shelves plans to pre-approve products FSA shelves plans to pre-approve products by	1 replies 6 views 0 likes	Anonymous 27 Sep 2011
Accredited bodies given go-ahead to issue adviser SPSs Accredited bodies given go-ahead to issue adviser SPSs by	1 replies 7 views 0 likes	Anonymous 26 Sep 2011
FSA staff abandon ship as split looms FSA staff abandon ship as split looms by	1 replies 5 views 0 likes	Anonymous 26 Sep 2011
FSA could face judicial review over Arch Cru deal FSA could face judicial review over Arch Cru deal by	1 replies 10 views 0 likes	Anonymous 26 Sep 2011
FSA's new round of Sipp scrutiny could spur changes FSA's new round of Sipp scrutiny could spur changes by	1 replies 7 views 0 likes	Anonymous 21 Sep 2011
FSA is to launch investigation into UBS rogue trader FSA is to launch investigation into UBS rogue trader by	3 replies 32 views 0 likes	Anonymous 21 Sep 2011
UBS fined £8 million 3 years ago UBS fined £8 million 3 years ago by	0 replies 10 views 0 likes	Anonymous 20 Sep 2011
Wait for FSA permissions trebles since financial crisis Wait for FSA permissions trebles since financial crisis by	1 replies 19 views 0 likes	Anonymous 20 Sep 2011
FSA refuses to lower qualification level for simplified advice FSA refuses to lower qualification level for simplified advice by	1 replies 11 views 0 likes	Anonymous 18 Sep 2011
FSA fines Peterborough-based adviser £35,000 FSA fines Peterborough-based adviser £35,000 by	1 replies 24 views 0 likes	Anonymous 15 Sep 2011
FSA to inspect eight Sipp providers over Ucis FSA to inspect eight Sipp providers over Ucis by	1 replies 6 views 0 likes	Anonymous 14 Sep 2011
Deceased advisor Deceased advisor by	3 replies 60 views 0 likes	Anonymous 14 Sep 2011
FSCS chairman to earn £75k for 2 days per week FSCS chairman to earn £75k for 2 days per week by	1 replies 12 views 0 likes	Anonymous 13 Sep 2011
FSA issues warning on Sesame AR clone FSA issues warning on Sesame AR clone by	1 replies 25 views 0 likes	Anonymous 12 Sep 2011
Barrister complains - FOS makes its OWN law Barrister complains - FOS makes its OWN law by	4 replies 35 views 0 likes	Anonymous 9 Sep 2011
CII warns FCA intervention 'may damage confidence' CII warns FCA intervention 'may damage confidence' by	1 replies 5 views 0 likes	Anonymous 9 Sep 2011
Letter - I was incensed by data released by the Financial Services Authority last week, which showed there has been a decline in the proportion of mortgages sold via intermediaries between Q1 and Q2 2011. Letter - I was incensed by data released by the Financial Services Authority last week, which showed there has been a decline in the proportion of mortgages sold via intermediaries between Q1 and Q2 2011. by	1 replies 54 views 0 likes	Anonymous 8 Sep 2011
FSA introduces pension transfer CPD FSA introduces pension transfer CPD by	1 replies 5 views 0 likes	Anonymous 8 Sep 2011
FSA warns specialist advisers of threat to independence FSA warns specialist advisers of threat to independence by	1 replies 9 views 0 likes	Anonymous 6 Sep 2011
Law firm considers action against FSA Law firm considers action against FSA by	5 replies 65 views 0 likes	Anonymous 6 Sep 2011
FSA approved 'unsuitable' Keydata advice FSA approved 'unsuitable' Keydata advice by	1 replies 111 views 0 likes	Anonymous 5 Sep 2011
FSA data shows fall in proportion of advised mortgage sales FSA data shows fall in proportion of advised mortgage sales by	4 replies 73 views 0 likes	Anonymous 4 Sep 2011
FSA seeks IFAs' clients over 'unsuitable' UCIS advice FSA seeks IFAs' clients over 'unsuitable' UCIS advice by	1 replies 2 views 0 likes	Anonymous 1 Sep 2011
FSA to issue first 'health alert' product warning soon FSA to issue first 'health alert' product warning soon by	2 replies 19 views 0 likes	Anonymous 31 Aug 2011
FSA to apologise for conduct of ‘bully’ TCF assessors FSA to apologise for conduct of ‘bully’ TCF assessors by	1 replies 14 views 0 likes	Anonymous 30 Aug 2011
Tyrie: FCA must improve on 'ineffective and costly' FSA regulation Tyrie: FCA must improve on 'ineffective and costly' FSA regulation by	2 replies 81 views 0 likes	Anonymous 23 Aug 2011
Sants – Parliament needs to legislate to remove the FSA’s ‘non-accountable status’ - Lessons from History Not Learned by MPs Sants – Parliament needs to legislate to remove the FSA’s ‘non-accountable status’ - Lessons from History Not Learned by MPs by	3 replies 31 views 0 likes	Anonymous 16 Aug 2011
Tribunal upholds £2.1m FSA fine for market abuse Tribunal upholds £2.1m FSA fine for market abuse by	1 replies 6 views 0 likes	Anonymous 16 Aug 2011
The FSA's ONA System - My letter to Hector Sants... The FSA's ONA System - My letter to Hector Sants... by	1 replies 14 views 0 likes	Anonymous 12 Aug 2011
Ad watchdog presses on with MAS 'advice' complaints Ad watchdog presses on with MAS 'advice' complaints by	1 replies 56 views 0 likes	Anonymous 9 Aug 2011
MAS 'advice' could breach EU competition rules MAS 'advice' could breach EU competition rules by	3 replies 31 views 0 likes	Anonymous 8 Aug 2011
Money Advice Service Money Advice Service by	7 replies 168 views 0 likes	Anonymous 5 Aug 2011
FSA criticised over handling of £11m unauthorised investment scheme FSA criticised over handling of £11m unauthorised investment scheme by	1 replies 6 views 0 likes	Anonymous 3 Aug 2011
FSA plans to ban provider kick-backs to platforms FSA plans to ban provider kick-backs to platforms by	1 replies 27 views 0 likes	Anonymous 2 Aug 2011
FSA: Widespread single platform use will 'concern' us FSA: Widespread single platform use will 'concern' us by	1 replies 8 views 0 likes	Anonymous 2 Aug 2011