Regulation
Service
A financial adviser has been fined £335,204 by the Financial Services Authority (FSA) after he deliberately retained insurance premium payments meant for the providers of the policies.
17 February 2012
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Regulation
Victims of a boiler room scam are set to share £64,000 in redress after the Financial Services Authority (FSA) obtained a court order against a firm involved in the fraud.
17 February 2012
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RDR
Retaining independent status post-RDR will not be as onerous for large firms or networks as some in the industry believe, but will be an 'insurmountable challenge' for sole traders, acccording to the managing director of the Sense network.
17 February 2012
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RDR
Ed Dymott, head of commercial at Fidelity Worldwide Investment, on why the FSA needs to offer clarification on legacy business sooner rather than later.
16 February 2012
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Regulation
The word ‘selling’ has become taboo in financial services circles, but why? A group of advisers is now encouraging peers to get out there again and push the products they believe in
16 February 2012
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RDR
Rathbone Unit Trust Management is to launch RDR-ready 'institutional' share classes across its fund range from 1 March.
16 February 2012
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Regulation
Margaret Cole is to step down from her role as managing director at the Financial Services Authority (FSA) ahead of its restructure.
15 February 2012
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Regulation
Two of the seven Raymond James advisers yesterday cleared of soliciting rival Towry's clients have reiterated claims the company acquired their previous employer, Edward Jones, mainly to "churn" customers into its in-house investment management service....
15 February 2012
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RDR
The British Standards Institute (BSI) is consulting on a draft of a voluntary service standard for financial advice businesses.
15 February 2012
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