FSA

Merchant Capital has warned some of its clients may suffer losses due to an ongoing Financial Services Authority (FSA) investigation into its custodian company Pritchard.

The Financial Services Authority (FSA) has fined a former managing director at Merrill Lynch International for disclosing inside information about Punch Taverns prior to its 2009 rights issue.

The Investment Funds Association has merged with the Tax Incentivised Savings Association (TISA) in a move aimed at boosting TISA's distributor influenced funds (DIFs) initiative.

Ed Dymott, head of commercial at Fidelity Worldwide Investment, on why the FSA needs to offer clarification on legacy business sooner rather than later.

Margaret Cole is to step down from her role as managing director at the Financial Services Authority (FSA) ahead of its restructure.

A firm has been fined £97,600 by the Financial Services Authority (FSA) for mis-selling unregulated collective investment schemes (UCIS), some of which have since wound up resulting in potential investor losses.

The Financial Services Authority (FSA) has published a guide to preparing for the retail distribution review (RDR), ten months before the reforms coming into place.

The FSA has varied the permissions of national stockbroker Pritchard for failing to adequately protect client money.

An FSA promise to re-visit the absence of a time limit on complaints in financial services "seems to have slipped off the radar", according to MP Mark Garnier, who has pledged to take the regulator to task on the issue.

The FSA is big on whistleblowing, or so it claims. But these adviser testimonies suggest the regulator is rather letting the industry down, writes Laura Miller.