Regulation

POOR management and complaints handling failures have seen an IFA firm cop a £42,000 fine from the FSA.

The FSA is hosting a number of free roadshows later this month aimed at financial and mortgage advisers and general insurance brokers.

Age discrimination legislation caused uncertainty when it was introduced late last year. Faith Dickson looks at the current situation and asks if things have become any clearer

The FSA has shelved the menu and initial disclosure document (IDD) for packaged products in a move that has drawn criticism from financial advice industry bodies.

AIFA has slammed the findings of an FSA investigation which singled out financial advisers for failing to treat fairly clients who had bought life insurance products.

THE FSA has fired a warning to small intermediary companies, telling them: "You can't escape our radar."

A Herefordshire-based IFA has been banned from practising by the FSA after it found he used client insurance premiums to run his business, leaving them uninsured.

THE FSA says it expects advisers to do more to treat clients with life insurance products fairly.

AN independent survey into Treating Customers Fairly (TCF) has found that an ‘alarmingly' high proportion of senior management are not assessing decisions against TCF policy, with a ‘great deal' of improvement needed in handling of complaints.

An independent survey into Treating Customers Fairly (TCF) has found that an ‘alarmingly' high proportion of senior management are not assessing decisions against TCF policy, with a ‘great deal' of improvement needed in handling of complaints.