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Results: 1-10 of 543

Misselling of leveraged notes: not a marginal call
  • RPC
  • United Kingdom
  • April 16 2013

In Al Sulaiman v Credit Suisse Securities (Europe) Limited the Commercial Court considered a claim for breach of duty in recommending investments


FOS decisions unlikely to be published anytime soon
  • RPC
  • United Kingdom
  • April 7 2011

In an editorial in Ombudsman News (December 2010), Natalie Ceeney, Chief Executive and Chief Ombudsman, wrote about her ambitions for greater transparency, including the prospect of certain FOS decisions being published


Suitability - complaints against financial advisers: we have good news and bad
  • RPC
  • United Kingdom
  • April 7 2011

The good news: the Ombudsman forecasts cases relating to investments will continue to fall over the next year


FSA’s Enforcement and crime Division continues to deliver on its promises
  • RPC
  • United Kingdom
  • April 7 2011

'Credible deterrence' remained the FSA's enforcement buzz words in 2010


Legal regulation catching up and fast
  • RPC
  • United Kingdom
  • April 7 2011

Yesterday saw the first publication of the SRA’s “Handbook“


EU round-up - time to pay attention
  • RPC
  • European Union, United Kingdom
  • April 7 2011

While the abolition of the FSA has dominated the headlines, developments in Europe could be far more important


No ‘red tape challenge’ for financial services
  • RPC
  • United Kingdom
  • April 11 2011

The Government launched last week its Red Tape Challenge with no mention of financial services regulation


House of Lords Economic Affairs Committee inquiry update
  • RPC
  • United Kingdom
  • January 27 2011

As reported in our last Update, the House of Lords began its inquiry examining the audit industry during the financial crisis and the concentration of the audit market in the UK on 12 October 2010


Complaints data is meaningless out of context
  • RPC
  • United Kingdom
  • March 30 2011

Statisticians will say that today's publication by the FSA of its half-yearly complaints data on firms provides a useful insight into firms' behaviours


First reported interest rate swap mis-selling claim crumbles
  • RPC
  • United Kingdom
  • January 29 2013

Interest rate hedging products are sold in a variety of forms swaps, caps, collars and structured collars, to name but a few. Their objective is to