Regulation

Mortgage brokers should take a "rigorous and industry respected" qualification in treating customers fairly after it emerged two firms had been fined and another handed a public censure by the FSA for management failings.

Martin O'Gorman takes a look at the effect SIPP regulation is having on the adviser community

The Retail Distribution Review is a good start but still has some way to go before real improvements to the industry can be made says Neil Johnson

Each month, we ask our industry to answer one big question!

regulation

The FSA says it has found senior management often presents a "risk" to a firm's bid to meet its treating customers fairly (TCF) principles.

Greater capital requirements, extra supervision of smaller firms and a time limit on claims against financial firms are the keys to sustaining a healthy distribution sector, according to findings published in the Retail Distribution Review.

The Financial Services Consumer Panel says a move by the FSA to end commission payments is the only way to avoid mis-selling scandals in the future.

Four in ten fines meted out by the FSA now concern TCF breaches, according to research from Reynolds Porter Chamberlain.