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Results: 1-10 of 14

FSA fines director for failure to calculate capital
  • Dentons
  • United Kingdom
  • October 26 2012

FSA fined a director of a firm £17,850 for breach of its Principle 6 for approved persons


FSA censures financial adviser
  • Dentons
  • United Kingdom
  • August 7 2009

FSA has imposed a public censure on Cheshire Life & Pensions for failing to ensure it gave suitable advice on pension income drawdown products


IMA comments on compensation and platforms
  • Dentons
  • United Kingdom
  • September 9 2011

IMA has written to FSA pointing out inconsistencies in the way the compensation rules treat policyholders of unit-linked pension products


FSA publishes RDR updates
  • Dentons
  • United Kingdom
  • July 6 2012

FSA has published a new edition of its Retail Distribution Review (RDR) Newsletter


FSA publishes quarterly consultation
  • Dentons
  • United Kingdom
  • March 9 2012

FSA's latest quarterly consultation seeks views on: changes to the Training and Competence Sourcebook (TC) to add a new qualification to the list


Treasury speaks on EU developments and pensions
  • Dentons
  • European Union, United Kingdom
  • September 23 2011

Mark Hoban spoke on regulatory reform, with specific emphasis on its effects on the pensions sector


Financial Regulatory Developments 20 February - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • February 20 2015

FCA has updated firms again on reporting under the AIFMD. It has confirmed it has resolved its issues with the GABRIEL system and has now asked firms


Financial Regulatory Developments 30 January - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • January 30 2015

FCA has published a response to its guidance consultation on retail investment advice, which was open from July to October 2014, and its finalised