News Archives
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 ... |
