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Compliance

Your profession

Quality of advice means exams must stay - FSA

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.

clock 28 February 2007 •

Compliance

Shock waves from the FSA

Ben Goh , managing director of Financial Services Compliance Ltd, considers the implications of the resignation of FSA CEO John Tiner...

clock 15 February 2007 •

Compliance

Viewpoint

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?

clock 01 December 2006 •

Compliance

Web tool aims to help TCF compliance

TCF

clock 01 September 2006 •

Compliance

Free and easy?

depolarisation

clock 01 June 2006 •

Compliance

Consumer protection

PPI

clock 01 May 2006 •

Compliance

Time to get tough

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

clock 01 April 2006 •

Your profession

Firms should implement MiFID before FSA acts

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...

clock 16 March 2006 •

Protection

Intermediaries could be affected by FSA mistake

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.

clock 20 January 2006 •

Regulation

FSA anniversary

Regulation

clock 01 January 2006 •
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