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Results: 1-10 of 83

FSA use of a firm’s reports

  • RPC
  • -
  • United Kingdom
  • -
  • February 25 2009

The FSA has recently consulted on changes to its Enforcement Guide aimed at clarifying its approach to internal investigation reports that firms commission in anticipation of possible FSA enforcement action

Unfair Terms in Consumer Contracts Regulations

  • RPC
  • -
  • United Kingdom
  • -
  • February 25 2009

The FSA’s business plan for 200910 confirms that helping retail consumers to achieve a fair deal will include a renewed focus on the UTCCR

FSA encourages company nominees for senior management roles into withdrawing applications

  • RPC
  • -
  • United Kingdom
  • -
  • September 1 2009

The FSA's more interventionist role in scrutinising new senior management jobs at large financial services firms has forced firms to drop nearly one in ten (9) of applicants as the FSA had indicated that they may reject applicants they do not approve of says Reynolds Porter Chamberlain (RPC), the City law firm

FSA enquiry evidence no longer remains confidential

  • RPC
  • -
  • United Kingdom
  • -
  • July 9 2007

A Court of Appeal ruling has caused uproar and may have jeopardised the FSA’s capacity for gathering information

Appropriate but unsuitable? The new Conduct of Business Rules

  • RPC
  • -
  • United Kingdom
  • -
  • July 9 2007

A completely new set of Conduct of Business Rules will come into force on 1 November

Good news for the insurance industry

  • RPC
  • -
  • United Kingdom
  • -
  • July 13 2007

In a recent decision on two linked cases (Bunney v Burns Anderson Plc & Anor and Cahill v Timothy James & Partners Limited), the High Court held that the Financial Ombudsman Service may not make a binding award requiring a redress payment in excess of £100k

FOS loses again - with more attacks to follow

  • RPC
  • -
  • United Kingdom
  • -
  • July 9 2007

The scope of the Ombudsman’s powers has been undermined once again by the decision in the recent cases of Bunney and Cahill

Financial risk outlook warning to financial intermediaries

  • RPC
  • -
  • United Kingdom
  • -
  • February 25 2009

The FSA has warned financial intermediaries that they must not allow financial pressures to lead to a reduction in resources devoted to compliance activities

Credit crunch claims - the rules that make matters worse

  • RPC
  • -
  • United Kingdom
  • -
  • February 25 2009

Investors who have lost money in the current financial crisis will inevitably be thinking about whether they have grounds for making a complaint against their financial advisers

Sub-prime - is it a D&O problem?

  • RPC
  • -
  • United Kingdom
  • -
  • September 28 2007

For directors to be targeted in any situation there needs to be not only a perception of negligence or misconduct but also an economic reason to sue

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