The Treasury Select Committee (TSC) today highlights the FSA’s swift dismissal last year of a proposal to delay the introduction of RDR as evidence of accountability and culture failings at the regulator, and said the same problems must not "plague" its replacement, the Financial Conduct Authority (FCA).
Investment Week |
13 Jan 2012
The Financial Services Authority (FSA) has not used mystery shoppers for at least 18 months, despite a promise from Hector Sants that the regulator would make more use of the tactic.
Investment Week |
12 Jan 2012
Police have arrested five men as part of its investigations into a small number of suspicious trades reported by Bristol-based stockbroker and wealth manager Rowan Dartington.
Investment Week |
12 Jan 2012
The FSA has extended its investigation into advisers who sold Arch cru funds to include inherited or acquired clients.
Investment Week |
11 Jan 2012
The EIS has a cocktail of tax benefits and, of course, it is most appropriate for someone who can make use of the maximum tax breaks.
Investment Week |
09 Jan 2012
Although it has been said many times, many ways, all participants in the financial services industry are facing a period of unprecedented regulatory change.
Investment Week |
09 Jan 2012
Alliance Trust has appointed Karin Forseke as non-executive chairman to replace Lesley Knox, who announced last year she intended to step down from the role.
Investment Week |
05 Jan 2012
A former chief executive officer of UBS AG's wealth management unit who is challenging a £100,000 FSA fine was yesterday accused of failing to control the activities of his team, allowing them to make up to 50 unauthorised trades per day.
Investment Week |
05 Jan 2012
The Financial Services Authority’s (FSA) report into the failure of HBOS is being delayed by a legal challenge from Peter Cummings, a former senior executive at the bank.
Investment Week |
04 Jan 2012
Advisers should expect a sharp focus on their investment propositions when the Financial Services Authority (FSA) begins its review of small firms later this year, according to Simplybiz managing director Matthew Timmins.
Investment Week |
03 Jan 2012
The FSA’s understanding of the platform industry has again been called into question after it sent an “odd” questionnaire to operators quizzing them on their relationship with fund managers.
Investment Week |
16 Dec 2011
The Financial Services Authority (FSA) has banned and fined a former client adviser at UBS AG £150,000 for failing to act with integrity.
Investment Week |
16 Dec 2011
Fsa
