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CEI Compliance Consultancy » fsa http://cei-compliance-limited.co.uk/blog UK Financial Services Regulatory Compliance Consultancy Briefing Mon, 21 May 2012 18:01:01 +0000 en hourly 1 http://wordpress.org/?v=3.3.1 Tribunal backs FSA over £1.3m fine for ex-UBS advisers http://cei-compliance-limited.co.uk/blog/tribunal-backs-fsa-over-1-3m-fine-for-ex-ubs-advisers/ http://cei-compliance-limited.co.uk/blog/tribunal-backs-fsa-over-1-3m-fine-for-ex-ubs-advisers/#comments Mon, 21 May 2012 11:03:00 +0000 morven.griersons4plc.co.uk http://cei-compliance-limited.co.uk/blog/tribunal-backs-fsa-over-1-3m-fine-for-ex-ubs-advisers/ Another Article

Former UBS advisers have been banned and fined in connection with an unauthorised trading scheme.

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Tribunal backs FSA over £1.3m fine for ex-UBS advisers

]]> http://cei-compliance-limited.co.uk/blog/tribunal-backs-fsa-over-1-3m-fine-for-ex-ubs-advisers/feed/ 0 MP says don’t heap the blame on advisers for Arch cru losses http://cei-compliance-limited.co.uk/blog/mp-says-dont-heap-the-blame-on-advisers-for-arch-cru-losses/ http://cei-compliance-limited.co.uk/blog/mp-says-dont-heap-the-blame-on-advisers-for-arch-cru-losses/#comments Fri, 18 May 2012 11:00:00 +0000 greg.mcveyhiteclabs.com http://cei-compliance-limited.co.uk/blog/mp-says-dont-heap-the-blame-on-advisers-for-arch-cru-losses/ Another Article

All-party Parliamentary group on Arch cru secretary Alun Cairns says it is for the FSA to hold IFAs so heavily responsible for client losses.

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MP says don’t heap the blame on advisers for Arch cru losses

]]> http://cei-compliance-limited.co.uk/blog/mp-says-dont-heap-the-blame-on-advisers-for-arch-cru-losses/feed/ 0 MP says don’t heap the blame on advisers for Arch cru losses http://cei-compliance-limited.co.uk/blog/mp-says-dont-heap-the-blame-on-advisers-for-arch-cru-losses-2/ http://cei-compliance-limited.co.uk/blog/mp-says-dont-heap-the-blame-on-advisers-for-arch-cru-losses-2/#comments Fri, 18 May 2012 11:00:00 +0000 dmallonsybase.com http://cei-compliance-limited.co.uk/blog/mp-says-dont-heap-the-blame-on-advisers-for-arch-cru-losses-2/ Another Article

All-party Parliamentary group on Arch cru secretary Alun Cairns says it is for the FSA to hold IFAs so heavily responsible for client losses.

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MP says don’t heap the blame on advisers for Arch cru losses

]]> http://cei-compliance-limited.co.uk/blog/mp-says-dont-heap-the-blame-on-advisers-for-arch-cru-losses-2/feed/ 0 Hearthstone receives approval for Paif launch http://cei-compliance-limited.co.uk/blog/hearthstone-receives-approval-for-paif-launch/ http://cei-compliance-limited.co.uk/blog/hearthstone-receives-approval-for-paif-launch/#comments Fri, 18 May 2012 08:39:00 +0000 georgina.warwickpetrusfinancial.co.uk http://cei-compliance-limited.co.uk/blog/hearthstone-receives-approval-for-paif-launch/ Another Article

Hearthstone Investments has received FSA approval to launch its UK residential property authorised investment fund.

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Hearthstone receives approval for Paif launch

]]> http://cei-compliance-limited.co.uk/blog/hearthstone-receives-approval-for-paif-launch/feed/ 0 Hearthstone receives approval for Paif launch http://cei-compliance-limited.co.uk/blog/hearthstone-receives-approval-for-paif-launch-2/ http://cei-compliance-limited.co.uk/blog/hearthstone-receives-approval-for-paif-launch-2/#comments Fri, 18 May 2012 08:39:00 +0000 ckc_Constantine5224email-masking.com http://cei-compliance-limited.co.uk/blog/hearthstone-receives-approval-for-paif-launch-2/ Another Article

Hearthstone Investments has received FSA approval to launch its UK residential property authorised investment fund.

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Hearthstone receives approval for Paif launch

]]> http://cei-compliance-limited.co.uk/blog/hearthstone-receives-approval-for-paif-launch-2/feed/ 0 FSA sounds note of warning on execution-only http://cei-compliance-limited.co.uk/blog/fsa-sounds-note-of-warning-on-execution-only/ http://cei-compliance-limited.co.uk/blog/fsa-sounds-note-of-warning-on-execution-only/#comments Fri, 18 May 2012 07:30:00 +0000 Speechless http://cei-compliance-limited.co.uk/blog/fsa-sounds-note-of-warning-on-execution-only/ Another Article

The FSA has raised concerns about advice firms moving into the execution-only market, saying it fears some may not properly implement its disclosure requirements.

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FSA sounds note of warning on execution-only

]]> http://cei-compliance-limited.co.uk/blog/fsa-sounds-note-of-warning-on-execution-only/feed/ 0 FSA: Preferred platform deals could fall foul of the RDR http://cei-compliance-limited.co.uk/blog/fsa-preferred-platform-deals-could-fall-foul-of-the-rdr/ http://cei-compliance-limited.co.uk/blog/fsa-preferred-platform-deals-could-fall-foul-of-the-rdr/#comments Fri, 18 May 2012 07:00:00 +0000 dmallonsybase.com http://cei-compliance-limited.co.uk/blog/fsa-preferred-platform-deals-could-fall-foul-of-the-rdr/ Another Article

Some preferred platform deals could be in breach of RDR adviser-charging rules.

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FSA: Preferred platform deals could fall foul of the RDR

]]> http://cei-compliance-limited.co.uk/blog/fsa-preferred-platform-deals-could-fall-foul-of-the-rdr/feed/ 0 Nic Cicutti: The consumer journalist take on Arch cru http://cei-compliance-limited.co.uk/blog/nic-cicutti-the-consumer-journalist-take-on-arch-cru/ http://cei-compliance-limited.co.uk/blog/nic-cicutti-the-consumer-journalist-take-on-arch-cru/#comments Fri, 18 May 2012 07:00:00 +0000 Leemcmanusyahoo.com http://cei-compliance-limited.co.uk/blog/nic-cicutti-the-consumer-journalist-take-on-arch-cru/ Another Article

There does not appear to be any indication that the FSA is willing to accept blame.

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Nic Cicutti: The consumer journalist take on Arch cru

]]> http://cei-compliance-limited.co.uk/blog/nic-cicutti-the-consumer-journalist-take-on-arch-cru/feed/ 0 PIMS: Firms say FSA is unsure over role of platforms http://cei-compliance-limited.co.uk/blog/pims-firms-say-fsa-is-unsure-over-role-of-platforms/ http://cei-compliance-limited.co.uk/blog/pims-firms-say-fsa-is-unsure-over-role-of-platforms/#comments Thu, 17 May 2012 16:40:00 +0000 lws166.co.uk http://cei-compliance-limited.co.uk/blog/pims-firms-say-fsa-is-unsure-over-role-of-platforms/ Another Article

Axa and Seven Investment Management says FSA confused over whether platforms are service providers or product providers.

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PIMS: Firms say FSA is unsure over role of platforms

]]> http://cei-compliance-limited.co.uk/blog/pims-firms-say-fsa-is-unsure-over-role-of-platforms/feed/ 0 Peer slams FSA’s ‘loss of proportion’ over Solvency II http://cei-compliance-limited.co.uk/blog/peer-slams-fsas-loss-of-proportion-over-solvency-ii/ http://cei-compliance-limited.co.uk/blog/peer-slams-fsas-loss-of-proportion-over-solvency-ii/#comments Thu, 17 May 2012 13:28:00 +0000 morven.griersons4plc.co.uk http://cei-compliance-limited.co.uk/blog/peer-slams-fsas-loss-of-proportion-over-solvency-ii/ Another Article

Lord Ashton says FSA’s implementation of Solvency II is costing insurers dearly.

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Peer slams FSA’s ‘loss of proportion’ over Solvency II

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