reporting
Consumer Duty
Adviser firms want further assistance to understand vulnerable client characteristics
25 September 2024
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2 min read
ETFs
The second installment of the Markets in Financial Instruments Directive (Mifid) could require ETF trades to be reported on exchange, which would boost market liquidity according to industry players.
06 October 2009
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Technology
Advisers who use the Cofunds platform will now receive a single weekly report which combines all their initial and trail commission statements.
31 July 2008
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Your profession
The Financial Services Authority's 'firms online' system will be unavailable from 27 to 29 January and from 2 to 5 February while the system is being upgraded.
25 January 2007
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Investment
The Pensions Regulator has published a discussion paper putting forward new proposals on the content of scheme reports and accounts to be included in the next Statement of Recommended Practice (SORP) for pensions.
05 June 2006
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Your profession
The Financial Services Authority has dropped the requirement on financial services firms to annually report the roles and responsibilities held by senior managers.
03 May 2006
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Your profession
Financial intermediaries will be required from next year to file reports with the FSA every six months containing details of advice given on each product transaction.
01 April 2004
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