Another Article The three were unnamed at this time. Search warrants were executed at four addresses in London as part of the latest operation and all were interviewed under caution then released on police bail. The FSA says no further details can be confirmed at this time as the investigation continues. The Financial Services and Markets [...]

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Another Article The FSA has failed to protect the email addresses of hundreds of IFAs and apologised for the failing which were revealed in a mass email.  Earlier this month, keen to sound out the possible effects of the RDR proposals on their business, the FSA emailed an online questionnaire to firms requesting information. The [...]

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Another ArticleDerbyshire-based financial advice firm, Sett Valley Insurance has incurred the wrath of the FSA by receiving fines totaling £49,000 for the firm and its two partners for sales and advice processes failures. The Sett Valley  failings at were initially identified during a TCF focused FSA visit, as part of its assessment programme for small firms. The subsequent investigation [...]

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Another Article The FSA has announced measures to assist borrowers who fall into arrears and confirmed that mortgage advisers and those arranging non-advised sales will be individually accountable to the regulator. The measures follow on from October 2009 Mortgage Market Review and work carried out by the FSA which uncovered worryingly high levels of consumer detriment [...]

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Another ArticleA 2 O Network has had its Part IV permissions suspended until it conforms to an FSA requirement to satisfy findings from visits, includes ensuring the competence of its advisers which may have been taking place already.  A 2 O says it has has been told to stop advising clients today.  Recently the network [...]

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Another ArticleA new site for compliance articles has been launched at www.complianceconsultant.org/articles …. Go check it out! Join Our Blog

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Another ArticleThe FSA have found a pair of analysts guilty of a crime despite there being no definite evidence. A former Evolution Securities analyst and his friend from university have been charged committing market abuse after two spread bets were placed inside a series of unrecorded mobile phone calls between the pair. Both spread bets [...]

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Considering the benefits of the Balanced Scorecard devised by Kaplan & Norton incorporated into small and medium sized enterprises.

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Another ArticleVirgin is launching its banking proposition from an already regulated bank, Church House Trust. Virgin says among the attractions of Church House are that it has no reliance on wholesale markets and that retail deposits are double the bank’s loan book. Entrepeneur and Virgin founder Sir Richard Branson says: “The Church House Trust business [...]

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Another Article Money Marketing – 5 January 2010 | By Lee Jones Barclays Capital has argued against shrinking banks that have been deemed ‘too big to fail’. In a report examining the largest European banks, Barcap says that bigger banks are more profitable and less vulnerable than smaller banks, suggesting the regulatory focus should be [...]

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