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FSA confirms retail TC rules
- Dentons
- -
- United Kingdom
- -
- December 23 2010
FSA has confirmed the changes to its rules on training and competence for those who work in the retail advisory sector
FSA consults on suitability guidance
- Dentons
- -
- United Kingdom
- -
- January 14 2011
FSA is consulting on proposed guidance to help firms establish the risk customers are willing and able to take and to make a suitable investment selection for them
FSA grants temporary extension for some PPI complaints
- Dentons
- -
- United Kingdom
- -
- June 17 2011
FSA has agreed an extension of time so three major banking groups can deal with their high volume of Payment Protection Insurance (PPI) complaints
FOS speaks on complaints
- Dentons
- -
- United Kingdom
- -
- June 24 2011
Tony Boorman and Caroline Wayman from FOS have spoken on complaints handling, particularly with reference to payment protection insurance (PPI) and mass detriment
EP publishes Consumer Rights Directive text
- Dentons
- -
- European Union
- -
- July 1 2011
EP has published the text of the Consumer Rights Directive, which should be formally approved by the Council over the next month
FSA signs claims management MoU
- Dentons
- -
- United Kingdom
- -
- April 1 2011
FSA has signed a MoU with the Ministry of Justice as the Claims Management Regulator
FSA feeds back on mass claims
- Dentons
- -
- United Kingdom
- -
- April 1 2011
FSA, with FOS and OFT, has published a feedback statement to its discussion paper on emerging risks and mass claims in the context of consumer complaints
FSA publishes final notice against asset manager
- Dentons
- -
- United Kingdom
- -
- August 5 2011
FSA has issued a final notice for Exclusive Asset Management Limited (in liquidation) (Exclusive) for failing to comply with the following principles
FSA publishes T&C FAQs
- Dentons
- -
- United Kingdom
- -
- June 3 2011
FSA has published a list of questions and answers on appropriate qualifications to meet its training and competence requirements
FSA fines and bans compliance officer for APER breach
- Dentons
- -
- United Kingdom
- -
- November 25 2011
FSA has fined Dr Sandradee Joseph £14,000 and banned her from performing any significant influence function in regulated financial services
