high court rules against fsa in investigation into keydata
The FSA acted unlawfully in its pursuit of Keydata according to a High Court ruling today.
Fsa
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axa wealth against delay to ban on rdr legacy commission
Axa Wealth’s chief executive argues against the potential for the FSA to delay banning legacy commission.
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fsa fines three over ucis failings
The FSA has fined three directors at two firms over their failure to ensure retail customers go suitable UCIS advice.
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FSA to address transparency across all strategies
Mutual funds are as willing as ETF providers to stock-lend but don’t get the same negative attention
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FSA brings High Court injunction in market manipulation case
The FSA has obtained an interim High Court injunction in an ongoing market manipulation case.
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PA ANALYSIS: RDR could limit advice not increase it
Advised sales are falling and with RDR still to come this proportion could continue to fall.
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Sales figures down for investments sold with advice
The proportion of retail products sold with advice declined by 2% from 2009/10 to 66% in 2010/11.
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FSA plans for orderly wind-up of investment houses
Investment firms need a Recovery & Resolution Plan to allow any wind down at no cost to the taxpayer
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The death knell for fund supermarkets?
Dennis Hall identifies the winners and losers from the FSA’s latest platforms paper.
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PA ANALYSIS: Platform definition extended to execution-only
Todays FSA platform paper covers a number of areas from re-registration to adviser charging.
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FSA to consult on legacy business in September
The regulator intends to consult the industry on how legacy business and RDR will interact.
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FSA delays platform paper to assess its impact on other rules
The FSA’s platform paper will be issued on Monday after assessing its broader impact on other rules.