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TCF

RDR

Sants tells MPs: Industry thinks its responsibility ends at sale

Hector Sants, chief executive of the outgoing Financial Services Authority (FSA) has told MPs the industry holds the "flawed" belief its responsibility to consumers ends with providing product information at the point of sale, a situation the new regulator...

clock 01 November 2011 •

TCF

Advisers take Massow ad gripes to FSA

Advisers have reported newspaper adverts for Ivan Massow's commission rebate business as misleading to the Financial Services Authority (FSA).

clock 28 October 2011 •

TCF

FOS complaints soar 24% in Q2

Complaints to the Financial Ombudsman Service rose by almost a quarter in the three months to September, excluding complaints for payment protection insurance.

clock 18 October 2011 •

Regulation

Firm loses permissions for avoiding FSA TCF visits

The Financial Services Authority (FSA) has cancelled the permissions of an Ayshire-based firm to carry on regulated activities after it failed to co-operate on Treating Customer Fairly (TCF) visits.

clock 13 October 2011 •

TCF

Warning firms may have to cover losses outside poor advice

The Financial Services Authority (FSA) is pressuring the government to increase the compensation liability on firms giving poor advice, a law firm warns.

clock 07 October 2011 •

Regulation

Ex-EJ adviser files complaint against FSA over Towry

A former Edward Jones adviser has filed an official complaint against the Financial Services Authority (FSA), accusing it of poorly regulating Towry Law.

clock 04 October 2011 •

TCF

Friends defends D2C arm against client poaching claims

Friends Life has defended its direct to consumer proposition, PlanWise, against an claims it is using the service to cut advisers out of the sales process.

clock 03 October 2011 •

Adviser tips

It was the perfect client meeting, until...

I've been charging fees since the 90s, but I'm still learning...

clock 22 September 2011 •

Charging

Simplified advice: Pru accuses FSA of u-turn on automated tools

The FSA's consultation on simplified advice contradicts warnings it has previously made on risk profiling tools and the regulator needs to clarify its position, Prudential distribution strategy director Russell Warwick said.

clock 22 September 2011 •

TCF

AWD Chase de Vere pays out £1.5m in complaints and redress

AWD Chase de Vere spent more than £1.5m settling complaints and paying customer redress last year, and expects the figure to be even higher this year.

clock 20 September 2011 •
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