Compliance

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Sesame members will be provided with a new compliance IT platform to help them manage their regulatory risks.

An IFA firm fined more than £20,000 by the FSA for poor pensions advice admits it failed to produce a single compliance report on pension switching in two years.

Ben Goh, managing director of Financial Services Compliance (EU) Limited, looks at the outcomes of this year's Financial Services Act.

The FSA has today issued its second fine in as many weeks over concerns on pension switching advice, but it is interesting to note case checking has been of particular interest to the regulator.

Censured IFA Park Row reduced the number of cases it checked for compliance in 2008, despite multiple warnings from the FSA.

The British Standards Institute (BSI) will develop a standard for compliance by retail and wholesale financial firms in the UK.

Financial advisers will have to publish their own complaints data under radical new proposals unveiled today by the FSA.

Have you ever managed to get really annoyed with someone that you have never met?

As "Poacher turned Gamekeeper" I would not put myself in the same house as Hector, but I was recently offered the rare treat (these days) of a day out of the office to visit a client of long standing, the opportunity presenting itself as a number of customer...