Temporary short sell ban
The FSA has issued a temporary short sell ban on Italian bank shares following a decision to do the same by the Italian Competent Authority (Consob).
Fsa
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Unfair investment terms re-written
The FSA has demanded terms and conditions across a range of structured products be amended, branding them “unfair” and misleading to investors.
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Exciting times for online platforms
Business is booming for online wrap platforms as advisers re-engage with clients following the implementation of RDR, reports suggest.
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five advice flaws plus the fsa-favoured fixes
Along with the FSA’s publication of its mystery shopping review into banks’ investment advice came well-placed fears that other sectors of the advice industry would be next.
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santander advisers peril tip of iceberg
Santander's plight is an example of financial advisers’ job insecurity as a result of RDR implementation and an overall downsizing of the market, according to wealth manager True Potential.
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fsa uses trusted secret weapon to supervise advice
The Financial Services Authority has deployed mystery shoppers for the first time since investigating PPI mis-selling in 2008, as it strived to judge the suitability of high street investment advice in the run up to RDR.
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FSA decision on VCTs REITs ETPs
Fund managers have welcomed the news the FSA is re-thinking proposals to restrict the promotion and sale of venture capital trusts (VCTs), real estate investment trusts (REITs) and exchange traded products (ETPs).
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UBS fined 9 and half m by FSA
UBS has agreed to settle a case brought against it by the FSA early, reducing its fine to £9.5m from £13.5m.
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More levy notice in FSCS revision
The revised Financial Services Compensation Scheme (FSCS) funding rules could lessen the impact of interim levies on contributors.
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schroders – we are not subject to investigation
Schroders Investment Management has clarified it was not under investigation from the FSA after it emerged an employee of the firm was arrested on suspicion of insider dealing.
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fsa takes action against colin jackson
The Financial Services Authority (FSA) has taken action against Baronworth Investment Services chief executive Colin Jackson and his firm over its financial promotions.
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fsa plans thematic reviews into rdr
The Financial Services Authority (FSA) intends to carry out four thematic reviews this year to ensure the implementation of RDR went as planned.