You are here: Forum > ADVISER FORUM > FCA Regulation
Create New Topic

FCA Regulation

Topics

RDR: FSA proposes 'Statements of Professional Standing' for advisers

RDR: FSA proposes 'Statements of Professional Standing' for advisers

by

3 replies
94 views
0 likes
Last User to Post in this topic Anonymous
7 Jul 2010

Assessment

Assessment

by

2 replies
105 views
0 likes
Last User to Post in this topic Anonymous
7 Jul 2010

Firms must submit new adviser details quarterly

Firms must submit new adviser details quarterly

by

4 replies
88 views
0 likes
Last User to Post in this topic Anonymous
5 Jul 2010

Bonuses paid to 84% of FSA staff last year

Bonuses paid to 84% of FSA staff last year

by

1 replies
39 views
0 likes
Last User to Post in this topic Anonymous
5 Jul 2010

Jon Pain to leave FSA

Jon Pain to leave FSA

by

3 replies
55 views
0 likes
Last User to Post in this topic Anonymous
2 Jul 2010

Shame

Shame

by

12 replies
286 views
0 likes
Last User to Post in this topic Anonymous
1 Jul 2010

All advisers, including bank staff, to be held personally accountable

All advisers, including bank staff, to be held personally accountable

by

6 replies
309 views
0 likes
Last User to Post in this topic Anonymous
30 Jun 2010

Sants still committed to RDR

Sants still committed to RDR

by

4 replies
63 views
0 likes
Last User to Post in this topic Anonymous
25 Jun 2010

Sants: Public sense of duty compelled me to take Bank job

Sants: Public sense of duty compelled me to take Bank job

by

3 replies
22 views
0 likes
Last User to Post in this topic Anonymous
25 Jun 2010

FSA's new structure revealed

FSA's new structure revealed

by

1 replies
67 views
0 likes
Last User to Post in this topic Anonymous
24 Jun 2010

FSA urging advisers to revisit any client contracts containing ‘I have read and understood’ declarations to ensure they are fair on consumers

FSA urging advisers to revisit any client contracts containing ‘I have read and understood’ declarations to ensure they are fair on consumers

by

6 replies
221 views
0 likes
Last User to Post in this topic Anonymous
22 Jun 2010

FSA break-up by 2012 hits RDR transition; Sants to stay on

FSA break-up by 2012 hits RDR transition; Sants to stay on

by

14 replies
323 views
0 likes
Last User to Post in this topic Anonymous
18 Jun 2010

FSA to be disbanded

FSA to be disbanded

by

5 replies
72 views
0 likes
Last User to Post in this topic Anonymous
17 Jun 2010

Probably a Stuipid Question

Probably a Stuipid Question

by

13 replies
219 views
0 likes
Last User to Post in this topic Anonymous
16 Jun 2010

FSA to become Bank of England subsidiary

FSA to become Bank of England subsidiary

by

3 replies
102 views
0 likes
Last User to Post in this topic Anonymous
15 Jun 2010

FSA Staff Expenses...

FSA Staff Expenses...

by

3 replies
35 views
0 likes
Last User to Post in this topic Anonymous
15 Jun 2010

Look what we've emailed to MPs and copied to the Press!

Look what we've emailed to MPs and copied to the Press!

by

6 replies
221 views
0 likes
Last User to Post in this topic Anonymous
14 Jun 2010

FSA forks out £638,500 for hospitality at Canary Wharf

FSA forks out £638,500 for hospitality at Canary Wharf

by

8 replies
98 views
0 likes
Last User to Post in this topic Anonymous
14 Jun 2010

Sally Dewar to step down from FSA

Sally Dewar to step down from FSA

by

2 replies
13 views
0 likes
Last User to Post in this topic Anonymous
12 Jun 2010

"Why, after the Treasury had fatally damaged the viability of the Occupational Pension Funds, did they allow the Regulator to keep putting people back into those funds through the medium of the Pensions Misselling Review?" and "Why was the Regulator so

"Why, after the Treasury had fatally damaged the viability of the Occupational Pension Funds, did they allow the Regulator to keep putting people back into those funds through the medium of the Pensions Misselling Review?" and "Why was the Regulator so

by

1 replies
6 views
0 likes
Last User to Post in this topic Anonymous
11 Jun 2010

Hurrahhh! Some good guys heading the Treasury Select Committee who seem to realise the FSA is out of control! See the 'must read' report "The Levanthian at Large" (Definition of 'Levanthian' - something huge or VERY powerful)

Hurrahhh! Some good guys heading the Treasury Select Committee who seem to realise the FSA is out of control! See the 'must read' report "The Levanthian at Large" (Definition of 'Levanthian' - something huge or VERY powerful)

by

2 replies
96 views
0 likes
Last User to Post in this topic Anonymous
11 Jun 2010

FSA paid staff £22m in bonuses in 2009/10

FSA paid staff £22m in bonuses in 2009/10

by

2 replies
33 views
0 likes
Last User to Post in this topic Anonymous
10 Jun 2010

So the FSA paid our 12K for a leaving party for Tiner - he of the 'tarnished' reputation (according to The Guardian)

So the FSA paid our 12K for a leaving party for Tiner - he of the 'tarnished' reputation (according to The Guardian)

by

1 replies
18 views
0 likes
Last User to Post in this topic Anonymous
10 Jun 2010

FSA annual report reveals £108,000 bonus for outgoing chief executive Hector Sants

FSA annual report reveals £108,000 bonus for outgoing chief executive Hector Sants

by

1 replies
12 views
0 likes
Last User to Post in this topic Anonymous
10 Jun 2010

FSA and fines

FSA and fines

by Anonymous

5 replies
170 views
0 likes
Last User to Post in this topic Anonymous
9 Jun 2010

We will not add another broker exam, says FSA

We will not add another broker exam, says FSA

by

1 replies
54 views
0 likes
Last User to Post in this topic Anonymous
8 Jun 2010

Govt still considering FSA closure

Govt still considering FSA closure

by

5 replies
72 views
0 likes
Last User to Post in this topic Anonymous
7 Jun 2010

Average earnings of FSA staff - and level of earnings for top dogs at FSA

Average earnings of FSA staff - and level of earnings for top dogs at FSA

by

19 replies
263 views
0 likes
Last User to Post in this topic Anonymous
7 Jun 2010

Advisers call on FSA to give greater weight to CPD

Advisers call on FSA to give greater weight to CPD

by

1 replies
34 views
0 likes
Last User to Post in this topic Anonymous
4 Jun 2010

Are we replacing one quango with another?

Are we replacing one quango with another?

by

1 replies
29 views
0 likes
Last User to Post in this topic Anonymous
3 Jun 2010

FSA hikes mortgage broker fees by 33%

FSA hikes mortgage broker fees by 33%

by

11 replies
316 views
0 likes
Last User to Post in this topic Anonymous
2 Jun 2010

Yet another basic right that is to be stolen from independent financial advisers

Yet another basic right that is to be stolen from independent financial advisers

by

23 replies
624 views
0 likes
Last User to Post in this topic Anonymous
25 May 2010

Urgent feedback please - FSA and individual broker registrations

Urgent feedback please - FSA and individual broker registrations

by Anonymous

37 replies
723 views
0 likes
Last User to Post in this topic Anonymous
24 May 2010

Sants emailed FSA's staff on Tory policy

Sants emailed FSA's staff on Tory policy

by

8 replies
218 views
0 likes
Last User to Post in this topic Anonymous
19 May 2010

Eight banks face US probe into mortgage ratings

Eight banks face US probe into mortgage ratings

by

1 replies
16 views
0 likes
Last User to Post in this topic Anonymous
14 May 2010

Ha! ha! ha!

Ha! ha! ha!

by

5 replies
135 views
0 likes
Last User to Post in this topic Anonymous
14 May 2010

Did anybody know this?

Did anybody know this?

by Anonymous

20 replies
577 views
0 likes
Last User to Post in this topic Anonymous
10 May 2010

This is where the FSA should be looking...

This is where the FSA should be looking...

by

1 replies
99 views
0 likes
Last User to Post in this topic Anonymous
29 Apr 2010

FSA to investigate Goldman Sachs

FSA to investigate Goldman Sachs

by

3 replies
44 views
0 likes
Last User to Post in this topic Anonymous
21 Apr 2010

Did you know that there is already a Compliance Code FOR REGULATORS that has parliamentary approval??!!!

Did you know that there is already a Compliance Code FOR REGULATORS that has parliamentary approval??!!!

by

14 replies
145 views
0 likes
Last User to Post in this topic Anonymous
15 Apr 2010