Regulation

Sants Responds to Select Committee Criticism

Posted on: 22 Jul 2011 by Huw Thomas

FSA chief executive Hector Sants has written to Andrew Tyrie MP about the TSC’s call for a delay in RDR implementa...

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FSA Censures IFAs Over Advice Failings

Posted on: 21 Jul 2011 by Huw Thomas

The Financial Services Authority has imposed prohibitions and fines on two advisers over UCIS mis-selling. Paul Banfield...

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Openwork Backs Calls for RDR Delay

Posted on: 19 Jul 2011 by Huw Thomas

Openwork has welcomed the Treasury Select Committee’s proposal for a 12-month delay in RDR implementation.  B...

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FSA Rejects Calls for RDR Delay

Posted on: 18 Jul 2011 by Huw Thomas

The Financial Services Authority has dismissed the Treasury Select Committee’s request that the deadline for the R...

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FSCS: Additional Keydata Levy Unlikely

Posted on: 15 Jul 2011 by Huw Thomas

The Financial Services Compensation Scheme has indicated that it does not anticipate that a further levy will be require...

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Former IMA Chairman Joins FPC

Posted on: 06 Jul 2011 by Huw Thomas

Ex-chairman of the Investment Management Association Robert Jenkins has been appointed to the board of the interim Finan...

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AIFA Voices FCA Concerns

Posted on: 29 Jun 2011 by Huw Thomas

The Association of Independent Advisers has warned that the Financial Conduct Authority could have a negative impact for...

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King Signals ETF Concerns

Posted on: 27 Jun 2011 by Huw Thomas

Bank of England governor Mervyn King has pushed for closer scrutiny of exchange-traded funds. Speaking at the launch of ...

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Advisers in Favour of Cash Rebates

Posted on: 24 Jun 2011 by Huw Thomas

According to a new survey from Ascentric, 86 percent of advisers believe fund manager cash rebates to client cash accoun...

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Niccol Raises Exchange Traded Product Concerns

Posted on: 16 Jun 2011 by Huw Thomas

FSA director of conduct policy Sheila Niccol has confirmed that the regulator is looking at potential risks posed by exc...

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