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FSA

Regulation

The ten most complained-about firms in 2011

GRIPES

clock 28 March 2012 •

Income

Three things we learned this week

Retirement Planner's round-up of the top pension stories this week.

clock 27 March 2012 •

Wrap/platforms

Advisers unsure if single platform scuppers independence

Advisers continue to be confused by the FSA's stance on single platform use, research suggests.

clock 27 March 2012 •

Regulation

'Soul-destroying': one adviser's letter to staff over FSCS levy

Advisers are beginning to assess the impact of how the latest Financial Services Compensation Scheme (FSCS) levy will impact their business.

clock 27 March 2012 •

Regulation

Adviser banned for £1.3m mortgage fraud

A financial adviser has been fined £95,200 and banned by the Financial Services Authority (FSA) for knowingly submitting mortgage applications in his own name which contained false information.

clock 27 March 2012 •

Regulation

New FSCS rules to drive up levies

Proposed changes to the Financial Services Compensation Scheme (FSCS), opening up eligibility to more parties, are likely to lead to increased compensation costs and higher levies.

clock 27 March 2012 •

Regulation

Simplified advice guidance due this week

The Financial Services Authority is set to provide final guidance on simplified advice this week.

clock 26 March 2012 •

uncategorised

FSA probes SIPP firm as directors arrested for fraud

The Financial Services Authority (FSA) has removed the permissions of SIPP provider HD Administrators (HDA) with immediate effect after two directors were arrested.

clock 26 March 2012 •

Investing in the profession

To the rescue! When advisers clean up banks' mess

SUPER IFAs

clock 26 March 2012 •

Regulation

FSA fines Queen's bank £8.8m for failing to protect 'high risk' clients

The Financial Services Authority (FSA) has fined Coutts & Company £8.75m for failing to take reasonable care to establish and maintain effective anti-money laundering (AML) systems and controls.

clock 26 March 2012 •
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