As advisers get to grips with the principles-led legislation of TCF Kristen Paech takes a look at the challenges they have to face
Regulation: FSA plans to create two-tier structure for ICOB products
The FSA is suggesting the quality of advice delivered to retail consumers is not good enough to warrant removing all prescriptive rules of the Training and Competence regime.
Ben Goh , managing director of Financial Services Compliance Ltd, considers the implications of the resignation of FSA CEO John Tiner...
The Financial Services Authority recently published its proposals for a radical move to principles-based regulation. What will this mean for the industry and what are the pitfalls?
The FSA may have helped out small firms during its first year as regulator, but those same firms had better start complying - or face the consequences, Andrew Honey tells Johanna Gornitzki
Financial services firms are being urged to start planning for the implementation of MiFID on the basis of Level 2 documentation already published, rather than wait for finalisation of the FSA's consultation on MiFID implementation expected later this...
Thousands of intermediaries and hundreds of insurers may have to rewrite their Terms of Business Agreements (TOBAs) because of a lack of clarity from the Financial Services Authority (FSA) over client money rules, a City law firm has warned.
The chairman is worried when two loyal investors decide to swap funds