FSA

Building societies have been told working towards the FSA's treating customers fairly principles will count for little if they can not assess how effective any changes have been.

More than 50% of advisers are confused about the effects of recent SIPP regulation, claims Merchant Investors.

The FSA today dismissed the 'folklore' that small retail firms are under the regulatory radar.

Changes to the Financial Services Authority's Conduct of Business rules, known as NEWCOB, could require companies - including IFAs - to offer compensation to clients on a proactive basis, claims Reynolds Porter Chamberlain.

It might seem a bit churlish of me to question some of the effects of principles based regulation, especially when no less a figure than Ben Bernanke, the US Federal Reserve chairman, heaped praise on the UK model and looked to it as a standard for the...

The controversy surrounding the split capital investment trust sector appears to be coming to an end after the FSA shut its inquiry into the activities of some firms during the sector's struggles in 2000.

The Financial Services Authority has banned an IFA from carrying out any regulated activities after he used client money to fund his day-to-day business.

The Association of IFAs has challenged the FSA's research into with-profits, branding it unfair, flawed and inaccurate.

Advisers are being urged to consider providing Home Information Packs(HIPs) as part of their drive towards treating customers fairly.

The Retail Distribution Review could "raise the bar" of adviser qualifications, and restrict the choice available in an attempt to create a comparable standard across the country.