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The British Insurance Brokers’ Association (BIBA) has launched a sanctions checking facility to help members comply with the Terrorism Act and the FSA financial crime requirements.
Suffolk Life’s head of marketing discusses with Retirement Planner the FSA’s focus on SIPP due diligence
IFAs using network support provider Paradigm Financial Advisers face delays of up to two weeks for their cases to be checked and approved because of "unexpected" demand for the service.
Other Compliance articles
Nick Anderson, head of compliance and risk at IFA Towry, has made a shock departure from the firm a week after it was fined nearly half a million pounds for misleading the Financial Services Authority (FSA).
The British Insurance Brokers’ Association (BIBA) is supporting targeted regulation of comparison sites.
Firms offering unqualified IFAs 'lay advocate' roles post-RDR face a serious compliance headache, an investment consultant has warned.
The FSA has given its backing to BS 8453, the new compliance framework for regulated financial services firms.
Richard Smith, IFA marketing expert at The Internet Consultancy, on the content you should have on your website to market your firm effectively.
Sesame members will be provided with a new compliance IT platform to help them manage their regulatory risks.
An IFA firm fined more than £20,000 by the FSA for poor pensions advice admits it failed to produce a single compliance report on pension switching in two years.
Ben Goh, managing director of Financial Services Compliance (EU) Limited, looks at the outcomes of this year’s Financial Services Act.
The FSA has today issued its second fine in as many weeks over concerns on pension switching advice, but it is interesting to note case checking has been of particular interest to the regulator.
Censured IFA Park Row reduced the number of cases it checked for compliance in 2008, despite multiple warnings from the FSA.
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