FCA Regulation

Topics

FSA NOT above the law!!! FSA NOT above the law!!! by	10 replies 115 views 0 likes	Anonymous 20 Oct 2011
FSA to conduct ‘regulatory reviews’ of small firms FSA to conduct ‘regulatory reviews’ of small firms by	6 replies 86 views 0 likes	Anonymous 19 Oct 2011
IMA calls for FCA to publish views of dissenting board members IMA calls for FCA to publish views of dissenting board members by	1 replies 7 views 0 likes	Anonymous 19 Oct 2011
Parliament to question AIFA head on new regulatory regime Parliament to question AIFA head on new regulatory regime by	2 replies 25 views 0 likes	Anonymous 18 Oct 2011
Tyrie: 'Wonderful opportunity' to improve FCA accountability Tyrie: 'Wonderful opportunity' to improve FCA accountability by	1 replies 16 views 0 likes	Anonymous 17 Oct 2011
FSA bans adviser over compliance visit refusal FSA bans adviser over compliance visit refusal by	1 replies 48 views 0 likes	Anonymous 17 Oct 2011
FSA in 'Catch 22' over findings of Capita probe FSA in 'Catch 22' over findings of Capita probe by	2 replies 14 views 0 likes	Anonymous 12 Oct 2011
Ex-FSA director Waters to head new trade body Ex-FSA director Waters to head new trade body by	1 replies 9 views 0 likes	Anonymous 10 Oct 2011
FSA staff still ‘in the dark’ over reforms FSA staff still ‘in the dark’ over reforms by	1 replies 7 views 0 likes	Anonymous 6 Oct 2011
Towry fined £495K for misleading the FSA Towry fined £495K for misleading the FSA by	1 replies 13 views 0 likes	Anonymous 4 Oct 2011
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