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FSA

Regulation

Hoban: Business regulation moratorium does not affect FSA

The government has confirmed its moratorium on new regulation for small businesses does not affect ongoing or future activities by the FSA.

clock 06 May 2011 •

Investment Trusts

Why the investment trust industry is backing RDR

The investment trust industry is backing the RDR initiative wholeheartedly. Simon Cordery, head of investment trust investor relations at F&C Investments, explains why.

clock 06 May 2011 •

Regulation

FSA's RBS report probed for evidence it was 'asleep at the wheel'

The Treasury Select Committee (TSC) has commissioned an independent review of the FSA's report into the collapse of RBS to scrutinise why the regulator failed to spot problems at the bank.

clock 05 May 2011 •

Your profession

From the Editor: Should IFAs have recommended debt firms?

The collapse of debt management firm debtDr just before Easter was a huge blow for its users but also advisers who recommended the firm to clients.

clock 05 May 2011 •

Regulation

Where now for regulation?

Coming into power so soon after the financial crisis, regulation was high up the coalition government's agenda, and the Treasury wasted little time in setting the course for change.

clock 05 May 2011 •

RDR

Firms warned over 'lay advocate' roles for unqualified IFAs

Firms offering unqualified IFAs 'lay advocate' roles post-RDR face a serious compliance headache, an investment consultant has warned.

clock 04 May 2011 •

Your profession

A closer look at...product intervention

Imagine a world in which a financial services regulator pre-approves products and forbids their sale without advice.

clock 04 May 2011 •

Industry

Q&A: FSA's Nicoll on first time buyers, MMR and the EU

Mortgage Solutions editor Victoria Hartley talks to Sheila Nicoll, FSA director of conduct policy, at the Building Societies Association conference.

clock 04 May 2011 •

Investment

Govt faces legal action over FSA's Cameron Farley 'failures'

A group of 200 out-of-pocket investors is mounting a legal case against the government for allegedly failing to stop serious errors at the FSA, and in so doing improperly implementing MiFID.

clock 04 May 2011 •

Investment

Exclusive: IFAs in firing line as CFD trader Direct Sharedeal folds

Advisers who recommended contracts for difference (CFD) trader Direct Sharedeal have been caught in the middle of a blame game after the firm was put into administration.

clock 04 May 2011 •
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