Monthly Archives: November 2011

  • RDR – implementation considerations

    Linda Woodall, Head of Investments at FSA, recently gave a talk to the Personal Finance Society on RDR issues. Hopefully everyone is well on the way with preparation for the... Read more.

  • FSA Regional Assessment Program – The Proactive Regulatory Review.

    Having gone through the FSA’s Treating Customers Fairly program, it seems that FSA has decided, having conducted a pilot program earlier this year, to undertake another round of regional  assessments... Read more.

  • Auto Enrolment

    With Auto Enrolment looming ever nearer we attach an employers guide that may be of use when dealing with your commercial clients. Unlike stakeholder it seems this version of HMG’s... Read more.

  • Advertising scam

    Citywire picked up on an advertising scam that seems to be doing the rounds at the moment – a company trading under the name ModePR is targeting companies to buy... Read more.

  • Platforms

    Attached above is an article from Professional Adviser on the issue of Platforms. You might recognise one of the contributors! And for another version directly reflecting the regulatory mindset, FSA... Read more.