Financial Services Regulation, Information And Guidance/Regulation Of Financial Services

Below is a selection of our most recent updates on this subject.

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The Legal Services Act 2007: Trustees' Responsibilities And The New Office Of Legal Ombudsman

The Legal Services Act 2007 (LSA) introduced a fundamental reform of legal services in England and Wales. One of its key measures was the creation of the Office for Legal Complaints (OLC) which in turn set up a new ombudsman for all complaints about legal services. This could include complaints about the conduct of trustees.
Wednesday, September 07, 2011

Solicitor Independent Referral Rules May Change

PFS hints that rules requiring solicitors to refer clients to an IFA for investment advice may be amended post-RDR
Wednesday, September 07, 2011

The Legal Services Act 2007: Delay In Introduction Of Some Parts Of The ‘TESCO Law'

The creation of ABSs under the Legal Services Act 2007 (LSA) has been delayed until 2012. Are financial advisers getting ready to take advantage of the new provisions?
Tuesday, September 06, 2011

FSA Publishes New Rules For Platforms

FSA yesterday published rules on platform regulation.
Tuesday, August 02, 2011

Depositor Protection

The Chancellor draws the line on bank depositor protection.
Monday, June 20, 2011

FSA Issue Consultation Paper On With-Profits

FSA publishes proposals to strengthen its existing rules on with-profits to improve protection for policyholders
Thursday, March 03, 2011

FSA Confirms Professionalism And Cpd Requirements

The FSA has confirmed the adviser requirements for securing and maintaining professionalism (including CPD)
Tuesday, January 25, 2011

FSA Confirms Advisers Need Statement Of Professional Standing

The FSA publishes final rules detailing need to hold statement of professional standing to give independent or restrictive advice
Friday, January 21, 2011

Financial Services Compensation Scheme

The FSA has confirmed an increase in compensation cover for deposits
Wednesday, December 22, 2010

FSA Publishes Platform Proposals

FSA has published proposals to align platform services with RDR
Wednesday, November 17, 2010

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