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Results: 1-10 of 30

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