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Cable may tie down Goodwin, despite his eluding the FSA’s net; Turner and Sants call for smaller holes

RPC
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United Kingdom
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June 26 2012

In response to the October 2008 failure of RBS, news reports suggest that Vince Cable MP, Secretary of State for Business, Innovation and Skills, may apply for an order to disqualify Fred Goodwin from being able to hold any future directorship of a UK company

MoU between FCA and FOS: will complaints handling become more risky?

RPC
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United Kingdom
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February 29 2012

The FOS published a draft MoU with the future FCA that has blurred an already hazy line between the ombudsman and regulator

No more nodding NEDs - FSA to make non-execs consumer champions

RPC
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United Kingdom
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December 19 2011

NEDs (and their D&O insurers) will be increasingly exposed to regulatory risk because of the FSA’s new guidance

All aboard the causation bandwagon

RPC
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United Kingdom
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October 14 2011

Like the proverbial buses that eventually arrive in pairs, at a time when there has been much controversy about the issue of causation, it is ironic that there have now been two significant High Court judgments setting the position within the regulated sector in stark contrast to the general law as interpreted by the Courts

CMC trade association should be welcomed, not derided

RPC
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United Kingdom
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September 15 2011

A number of CMCs combined last week to launch the Association of Professional Claims Managers (APCM) to “increase the professionalism and levels of service provided by regulated claims management companies“

FOS complaints: you win some; you lose some (or only a few; or almost all)

RPC
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United Kingdom
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September 6 2011

Today’s latest round of FOS complaints data tells the expected tale of woe about PPI complaints but also shows a remarkable disparity between firms’ success rates

FOS believes respondent firms should be seen but not heard

RPC
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United Kingdom
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August 3 2011

Tucked at the end of Ombudsman News edition 95 in a little Q&A section about recent queries to its technical advice desk is a bold statement about the FOS’ reluctance to hold oral hearings

CMCs - why not cut out the middle man?

RPC
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United Kingdom
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July 25 2011

A joint note from the MoJ, FSA, FOS and FSCS issued last week sets out the role that CMCs play in financial services complaints and highlighted the potential drawbacks of engaging a third party in the complaints procedure

FSA wealth management review deadline only a month away

RPC
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United Kingdom
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July 11 2011

By 9 August, wealth managers must respond to the FSA’s Dear CEO letter to confirm they are currently meeting the FSA’s suitability requirements for client portfolios and mitigating the risk of future non-compliance

Accountability without liability

RPC
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United Kingdom
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July 8 2011

Last week the FSA laid the foundations of the FCA with the publication of “The Financial Conduct Authority Approach to Regulation“