FSA

The Financial Services Authority (FSA) has fined Peterborough-based Rockingham Independent £35,000 and imposed partial bans on its directors and an adviser for exposing retirees to unsuitable advice.

The Financial Services Authority's (FSA) inspection of eight SIPP providers shows it is concerned over levels of risk among small providers, a Defaqto expert says.

The Financial Services Authority (FSA) has forced bankruptcy upon a man who was behind a £4.8m unauthorised collective investment scheme (CIS), after he failed to pay money back to his investors.

The FSA has a lot to prove over the coming months and advisers could bear the brunt says Alex Ellerton, associate director at BDO

Three years on from the collapse of Lehman Brothers, Laura Miller revisits the shocking events and asks if any lessons have been learned.

It has been three years since Lehman Brothers filed for bankruptcy, creating the biggest banking failure in history and sending shockwaves through global markets.

Advisers need to be sure they are entrusting their clients' SIPP funds to the right partners. Andy Leggett says there are some important questions to ask and there need to be convincing, evidenced reasons before any boxes are ticked.

The FSA today handed out the second largest fine for an intermediary to a London-based mortgage for repeated mortgage fraud and deliberately misleading the regulator.

A mortgage adviser has been banned from conducting regulated activities after he failed to hand over copies of client files ahead of an FSA review.

The Advertising Standards Authority (ASA) has decided not to uphold any of the complaints against the Money Advice Service (MAS) television advertisements.