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The FSA, General Regulation & Standards for Independent Financial Advisors
I am very pleased to read the following article http://www.moneymarketing.co.uk/adviser-news/adviser-struck-off-for-falsifying-reference/1057782.article I am pleased that the FSA is ensuring that integrity of the Independent Financial Advisory Industry. Maintaining...
The RDR, Independent Financial Advisors & High Street Banks
I liked many of the comments made by Martin Lewis in the following article. http://www.moneymarketing.co.uk/pensions/martin-lewis-advisers-reputationally-damaged-by-rdr-debate/1059815.article I agree that the RDR process has been detrimental to the Independent...
The FSA Ban & Fine of Former HBOS Director
The FSA has received a lot of media attention for fining and banning Peter Cummings from holding a senior position at an FSA regulated company. In a capitalist system some businesses will take higher levels of risk with the aim of earning higher returns. The question...