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FSA

Regulation

FSA to ban DFM-to-adviser kick-backs

The Financial Services Authority (FSA) is consulting on a change to its adviser charging rules to ensure advisory firms do not receive any kick-back payments from discretionary investment managers (DIMs) in exchange for recommending their services.

clock 05 October 2012 •

Pensions

Pension transfers decline after advice rule changes

Fewer pension scheme members will be offered the chance to transfer out following the introduction of a voluntary code of conduct and changes in how members are advised, law firm Osborne Clarke has said.

clock 04 October 2012 •

Regulation

New regulators to get wider approved persons powers

The new financial regulators will have the power to discipline individuals for activities outside of the controlled functions they perform, under rules proposed by the Financial Services Authority (FSA).

clock 04 October 2012 •

Your profession

Bellpenny agrees £400m in acquisitions

IFA consolidator and wealth management business Bellpenny has received authorisation from the Financial Services Authority (FSA) today.

clock 04 October 2012 •

Wrap/platforms

Platforms ask: why is rebate ban just for us?

REBATE BAN

clock 04 October 2012 •

Your profession

Labour: new laws needed to tackle financial crime

Shadow home secretary Yvette Cooper yesterday called for new laws to be written to better deal with financial crimes such as LIBOR manipulation.

clock 04 October 2012 •

RDR

FSA to sniff out deals that 'smell' like commission

The Financial Services Authority (FSA) has defended its decision to warn providers and advisory groups about securing "distribution agreements" which may appear to be commission by another name, saying it has evidence of deals which have raised its suspicions....

clock 03 October 2012 •

RDR

Severn hits out at restricted advice 'propaganda'

Firms offering restricted advice are spreading "propaganda" about the apparent difficulties of meeting the Financial Services Authority's (FSA's) new independence rules, according to consultant David Severn, a former head of investment business policy...

clock 02 October 2012 •

Regulation

FSA charges four with insider dealing

The Financial Services Authority (FSA) has charged four men with conspiracy to insider deal between 1 November 2006 and 23 March 2010.

clock 01 October 2012 •

Investment

Five things clients will call you about this week

FIVE THINGS

clock 01 October 2012 •
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