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FSA

Mortgages

Broker trio fined £450k after fraud appeal dismissed

The FSA has banned four mortgage brokers and imposed fined totalling £450,000 on three of them for knowingly using misleading and inaccurate information to secure mortgages.

clock 19 April 2011 •

Economics / Markets

EU asset managers accuse US banks of Libor fixing

Three European asset management firms have accused banks including Bank of America Corp., JPMorgan Chase & Co., HSBC Holdings Plc, Barclays Bank Plc and Credit Suisse Group AG of conspiring to manipulate Libor.

clock 19 April 2011 •

Protection

Sants: Solvency II costs may outweigh short-term benefits

Hector Sants, the FSA chief executive, has admitted the "considerable" costs of implementing Solvency II may outweigh the short-term benefits to the industry.

clock 19 April 2011 •

Investment

N&P's ten biggest Keydata mistakes

So how did N&P's advisers take the company from a safe-as-houses building society to the centre of one of the biggest mis-selling scandals of the decade?

clock 18 April 2011 •

Regulation

FSA warns over SJP 'copycats'

The FSA has issued a warning about a Geneva-based firm which may be luring in UK customers who think they are dealing with wealth manager St James's Place.

clock 18 April 2011 •

ETFs

Is the FSA right on the risks of ETFs?

Joanne Young asks the industry: Is the FSA's Retail Conduct Risk Outlook paper right on ETF complexity?

clock 15 April 2011 •

Investment

FSA censures IFA firms for UCIS and GTEP failings

The FSA has fined one IFA firm and censured another for advice failings on unregulated collective investment schemes (UCIS) and geared traded endowment polices (GTEPs).

clock 14 April 2011 •

Wrap/platforms

Platforms given fortnight to complete cash rebate survey

The FSA gave platforms just two weeks to respond to an operational questionnaire which will be key in helping the regulator decide whether to pursue its controversial plan to ban cash rebates.

clock 14 April 2011 •

Your profession

Blog: There is such a thing as too much transparency

Director-general of TISA Tony Vine-Lott asks whether our efforts to protect consumers could prove counter productive?

clock 14 April 2011 •

Investing in the profession

Succession warns compliance industry may be failing advisers

The compliance industry is out of step with the FSA over how to assess clients' attitude to risk, exposing advisers to unnecessary enforcement action, IFA consolidator Succession warns.

clock 14 April 2011 •
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