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Date
Title
April 2010
18/04/2010
FSA Complaint Handling - Improve by Joanne Roberts, Director Discussion Paper DP10/1 has been released, wanting firms to improve their complaint ...
16/04/2010
FSA Financial Penalties Policy by Joanne Roberts, Director The FSA has set out its policy on financial penalties for firms and individuals ...
15/04/2010
Firms Online Closed by Joanne Roberts, Director The FSA has announced the Firms Online system to submit regulatory reports has now been ...
12/04/2010
New FSA Rules for Client Assets by Joanne Roberts, Director The Financial Services Authority (FSA) has published a consultation on changes to client ...
01/04/2010
FSA Business Plan 2010/2011 by Joanne Roberts, Director The FSA’s Business Plan centres around requirements for greater policy and supervisory resources and focusing ...
March 2010
18/03/2010
Absolute Returns Sector Review by Joanne Roberts, Director The Investment Managers Association has announced it is to review the Absolute Returns sector. There have ...
17/03/2010
Sants – Society must Pay by Joanne Roberts, Director In yet another release, the outgoing Chief Executive of the Financial Services Authority Hector ...
16/03/2010
TCF not Working by Joanne Roberts, Director According to FSA Chief Executive Hector Sants, the FSA treating customers fairly initiative has failed to ...
15/03/2010
FSA Involved in Product Design by Joanne Roberts, Director Hector Sants announced that until now the FSA has not been involved early enough ...
13/03/2010
FSA Authorisation Cancellation Deadline 31 March by Joanne Roberts, Director A final reminder for any firms needing to vary their permissions or cancel ...
12/03/2010
Client Money Protection Reminder by Joanne Roberts, Director In February the FSA issued a ‘Dear CEO’ letter to small firms with permission to ...
02/03/2010
FSA Fines Overhaul by Joanne Roberts, Director With effect 6 March 2010 FSA fines will be based on income, upto 20% of the ...
February 2010
26/02/2010
HMRC Changes SIPP SSAS by Joanne Roberts, Director A change in the rules from HMRC on ‘taxable property’ will now catch clients holding ...
25/02/2010
Solvency II Mergers Expected by Joanne Roberts, Director According to industry commentators, the arrival of Solvency II in 2012 will mean a wave ...
24/02/2010
Charcol Administration - More Regulatory Failures by Joanne Roberts, Director The story is unbelievable. Towergate purchases John Charcol just after the point ...
19/02/2010
Gilt Yields Up for USP by Joanne Roberts, Director For those people taking income withdrawals under Unsecured Pensions / Drawdown, HMRC has announced ...
18/02/2010
ABI Warning over Retirement Age Increase by Joanne Roberts, Director The ABI has warned advisers not to delay when sending in applications for ...
17/02/2010
HMRC Crackdown - Running Short of Money! by Joanne Roberts, Director HMRC has issued a set of draft rules proposing that tax agents ...
12/02/2010
FSA Costs up 10% by Joanne Roberts, Director The FSA has announced that in order to meet its intensive supervision role, it will ...
08/02/2010
FSA Template Update Delay by Joanne Roberts, Director In our recent email we reminded everyone about the changes to FSCS compensation limits that ...
02/02/2010
Call for Ban on Equity Release Telephone Sales by Joanne Roberts, Director The Society for Equity Release Advisers (SERA) has called for telephone ...
January 2010
29/01/2010
FSA Fees Disproportionate for IFAs by Joanne Roberts, Director The Association of IFAs has called for a review of FSA fees levied on ...
29/01/2010
FSA Hots up on Complaints Data by Joanne Roberts, Director Firms who receive 500 complaints or more will have to undertake additional six-monthly ...
29/01/2010
Sale and Rentback - FSA Final Rules by Joanne Roberts, Director The FSA took over the regulation for sale and rentback schemes with ...
26/01/2010
Mortgages – Advisers and Arrangers to be Approved Persons by Joanne Roberts, Director In an update to October’s Mortgage Market Review, the FSA ...

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