FCA Regulation

Topics

Should fees be based on risk? Many say yes Should fees be based on risk? Many say yes by	1 replies 9 views 0 likes	Anonymous 16 Apr 2013
“There are plenty of unauthorised firms running scams” “There are plenty of unauthorised firms running scams” by	1 replies 106 views 0 likes	Anonymous 15 Apr 2013
FCA warning to unscrupulous advisers FCA warning to unscrupulous advisers by	1 replies 52 views 0 likes	Anonymous 15 Apr 2013
Financial Services – Sexy industry with desirable products! Financial Services – Sexy industry with desirable products! by	2 replies 23 views 0 likes	Anonymous 11 Apr 2013
FCA flexes its muscles by issuing a swathe of alerts FCA flexes its muscles by issuing a swathe of alerts by	1 replies 34 views 0 likes	Anonymous 9 Apr 2013
FSA rulebook "possible to follow & were we meant to?" FSA rulebook "possible to follow & were we meant to?" by	4 replies 177 views 0 likes	Anonymous 8 Apr 2013
FCA - do I need to do anything?!!! FCA - do I need to do anything?!!! by	3 replies 111 views 0 likes	Anonymous 8 Apr 2013
Surge in regulatory costs Surge in regulatory costs by	5 replies 99 views 0 likes	Anonymous 8 Apr 2013
New Libor rules New Libor rules by	1 replies 4 views 0 likes	Anonymous 26 Mar 2013
Out of control regulation with consumers paying £2.6bn of RDR costs Out of control regulation with consumers paying £2.6bn of RDR costs by	3 replies 111 views 0 likes	Anonymous 25 Mar 2013
FSA reprieve for small adviser firms from new rules FSA reprieve for small adviser firms from new rules by	1 replies 74 views 0 likes	Anonymous 19 Mar 2013
5 complaints against FSA for unprofessional & overly aggressive conduct 5 complaints against FSA for unprofessional & overly aggressive conduct by	2 replies 50 views 0 likes	Anonymous 18 Mar 2013
Advisers must build defences against FSA on steroids Advisers must build defences against FSA on steroids by	1 replies 24 views 0 likes	Anonymous 14 Mar 2013
FCA should be 'strangled at birth', says think tank FCA should be 'strangled at birth', says think tank by	4 replies 95 views 0 likes	Anonymous 7 Mar 2013
Sants and his ‘blind eye’ Sants and his ‘blind eye’ by	7 replies 210 views 0 likes	Anonymous 7 Mar 2013
Whistleblow while you work – and get paid! Whistleblow while you work – and get paid! by	2 replies 119 views 0 likes	Anonymous 5 Mar 2013
Unlike the FSA, the FCA is “committed to being open to scrutiny by parliament” Unlike the FSA, the FCA is “committed to being open to scrutiny by parliament” by	1 replies 21 views 0 likes	Anonymous 5 Mar 2013
FCA + PRA = 4,000 staff – and counting! FCA + PRA = 4,000 staff – and counting! by	2 replies 63 views 0 likes	Anonymous 4 Mar 2013
“More litigious” FSA? “More litigious” FSA? by	1 replies 24 views 0 likes	Anonymous 1 Mar 2013
Sir Hector - See how easy it is to file a late return?! Sir Hector - See how easy it is to file a late return?! by	1 replies 50 views 0 likes	Anonymous 28 Feb 2013
3 arrests, The Met, The FSA and market abuse 3 arrests, The Met, The FSA and market abuse by	1 replies 29 views 0 likes	Anonymous 27 Feb 2013
How would the FSA view tactical asset allocation? How would the FSA view tactical asset allocation? by	1 replies 11 views 0 likes	Anonymous 27 Feb 2013
Yet again advisers pay... Yet again advisers pay... by	1 replies 68 views 0 likes	Anonymous 22 Feb 2013
FSA aware of rate fixing since 2008! Shame on them FSA aware of rate fixing since 2008! Shame on them by	3 replies 98 views 0 likes	Anonymous 21 Feb 2013
MAS - £4m of OUR money paid out in redundancies! MAS - £4m of OUR money paid out in redundancies! by	10 replies 221 views 0 likes	Anonymous 20 Feb 2013
FSA backs down re Platform cash rebates! FSA backs down re Platform cash rebates! by	2 replies 27 views 0 likes	Anonymous 20 Feb 2013
Sants successor – Andrew Bailey Sants successor – Andrew Bailey by	1 replies 9 views 0 likes	Anonymous 19 Feb 2013
FCA will go after Fund Managers! FCA will go after Fund Managers! by	1 replies 10 views 0 likes	Anonymous 19 Feb 2013
What you are charging is now officially under scrutiny What you are charging is now officially under scrutiny by	1 replies 83 views 0 likes	Anonymous 19 Feb 2013
Adviser losses. So sad. Worse than even we anticipated Adviser losses. So sad. Worse than even we anticipated by	2 replies 276 views 0 likes	Anonymous 17 Feb 2013
FSA stance on advisers’ passive propositions FSA stance on advisers’ passive propositions by	1 replies 16 views 0 likes	Anonymous 15 Feb 2013
Are FSA anticipating a ‘run’ on insurers then? Are FSA anticipating a ‘run’ on insurers then? by	2 replies 68 views 0 likes	Anonymous 13 Feb 2013
FCA – “We’ll choose you ‘skilled person’ then charge you" FCA – “We’ll choose you ‘skilled person’ then charge you" by	1 replies 78 views 0 likes	Anonymous 11 Feb 2013
If FCA thinks firms bad value it can intervene If FCA thinks firms bad value it can intervene by	1 replies 15 views 0 likes	Anonymous 7 Feb 2013
Will FCA meddling mean worse products? Will FCA meddling mean worse products? by	1 replies 7 views 0 likes	Anonymous 6 Feb 2013
FSA - Whatever next!? FSA - Whatever next!? by	3 replies 80 views 0 likes	Anonymous 5 Feb 2013
Government backed MoneyMadeClearWales.org Government backed MoneyMadeClearWales.org by	3 replies 24 views 0 likes	Anonymous 1 Feb 2013
FSA wants to ban people before case is proven FSA wants to ban people before case is proven by	3 replies 44 views 0 likes	Anonymous 31 Jan 2013
FSA – If you want us to report our income sort the system out! FSA – If you want us to report our income sort the system out! by	2 replies 49 views 0 likes	Anonymous 31 Jan 2013
FSA – “Financial Shambles Authority” FSA – “Financial Shambles Authority” by	6 replies 310 views 0 likes	Anonymous 31 Jan 2013