This week's Investment Week Articulate page sets out the disciplinary and appeals process that an in...
This week's Investment Week Articulate page sets out the disciplinary and appeals process that an intermediary will face if investigated by the FSA. If there is a subject you'd like to see explored on this page, please email: [email protected] Intermediaries will be all too aware of the involvement the Financial Services Authority (FSA) has in the regulation of their industry. This article is a guide to the investigatory process and powers available to the FSA, including the changes recently introduced following the Strachan Review, with some basic pointers for intermediari...
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