News - FSA Compliance Consultants

Charging 'the greatest challenge' ahead of RDR

08 September 2010 at 15:35

There has been a significant increase in the number of advisers who regard adopting new charging models as the biggest challenge posed by the Retail Distribution Review (RDR), according to new research.  Read more

Investors 'favouring aggressive strategies'

08 September 2010 at 15:31

The majority of investors are likely to take an aggressive stance, investing mainly or wholly in equities, when investing for a child over an 18-year timeframe, according to a new survey.  Read more

Fund managers 'acting more cautiously'

08 September 2010 at 15:29

Fund managers are currently acting more cautiously than 12 months ago over fears that the recession may turn out to be a double dip one, a new poll has indicated.  Read more

Ifas 'using multiple platforms'

07 September 2010 at 15:22

The majority of independent financial advisers (Ifas) are using multiple platforms, according to the latest research.  Read more

76% of financial services firms 'do not want regional exchanges'

02 September 2010 at 15:54

Over three-quarters of financial services practitioners do not want UK regional stock exchanges, according to a new report.  Read more

Almost half of IFAs choose platform approach

24 August 2010 at 14:52

Almost half of Independent Financial Advisers (IFAs) are choosing a platform approach to client proposition, the latest figures have revealed.  Read more

Compliance 'essential' among retailers of all sizes

20 August 2010 at 15:49

Although compliance can often be difficult to achieve, it is essential that retailers of all sizes take the steps to ensure they observe rules and regulations, one source has observed.  Read more

Demand for financial services 'will continue to grow'

09 August 2010 at 15:47

The demand for financial services is likely to continue to increase in the coming months as the industry continued to reform following the recession, one expert has noted.  Read more

Clarkson Hill receives £600k to meet FSA requirements

20 July 2010 at 14:34

Clarkson Hill is now observing Financial Services Authority (FSA) compliance after the firm''s chief executive and managing director lent £588,000 to the company to help it meet its regulatory capital requirements.  Read more

FSA plans 'appropriate improvements' to work of auditors

01 July 2010 at 16:36

Efforts by the Financial Services Authority (FSA) to improve the work carried out by auditors should lead to "appropriate improvements", it has been suggested.  Read more