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Results: 1-10 of 14

FSA censures firm and bans compliance officer
  • Dentons
  • United Kingdom
  • August 17 2012

FSA has published a public censure against City Gate Money Managers Limited for various failings in pension transfer and income drawdown business


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


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


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


Financial Regulatory Developments 7 November - Financial Conduct Authority (FCA)
  • Dentons
  • United Kingdom
  • November 7 2014

FCA has launched a consultation on a proposed charge cap on auto-enrolment funds and banning certain charging practices in relation to contract-based


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

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


Law commission consults on fiduciary duties of investment intermediaries
  • Dentons
  • United Kingdom
  • October 25 2013

To fulfil the reference received from the Department for Business, Innovation and Skills following the publication of the Kay Report on UK Equity


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