FCA regulated firms must implement ADR changes earlier

September 2015
Mortgage Finance Gazette;Sep2015, Vol. 146 Issue 1795, p17
The article discusses the Alternative Dispute Resolution (ADR) process for firms under Great Britain's Financial Ombudsman Service (FOS), r,egulated by Financial Conduct Authority (FCA), which include mentioning the FOS website on the firm's website, and complaints that FOS can consider.


Related Articles

  • Stalling for time. NORMAN, TESSA // Money Marketing;7/31/2014, Issue 1448, p4 

    The article focuses on the claim of the British Financial Conduct Authority (FCA) that the European alternative dispute resolution (ADR) directive is preventing progress on a long-stop for advisers on complaints to the Financial Ombudsman Service (FOS). FCA chief executive Martin Wheatley says...

  • FOS reports drop in complaints but Sipp cases surge. Selby, Tom // Money Marketing (Online Edition);7/22/2014, p7 

    The article offers information on the decrease in PPI complaints between April and June, 2014 in comparison to previous year. According to the Financial Ombudsman Service, PPI complaints decreased by 57 percent in 2014. However it states following the Financial Conduct Authority's widespread...

  • FOS must guarantee fair use of simplified advice rules.  // Money Marketing;11/14/2013, p18 

    The article cites the views of Personal Finance Society (PFS) president David Ingram on the need for the Financial Ombudsman Service (FOS) and the Financial Conduct Authority (FCA) to support British advisers before simplified advice solutions can gain traction and the advice gap can be addressed.

  • We need support from regulator on simplified advice, says PFS president. Norman, Tessa // Money Marketing;11/14/2013, p20 

    The article cites the remarks of Personal Finance Society (PFS) president David Ingram at the annual PFS conference in Birmingham, England about the need for the Financial Conduct Authority (FCA) and the Financial Ombudsman Service (FOS) to support advice profession in addressing the advice gap.

  • MM leader: The sharp practice of 'non-advised' sales.  // Money Marketing (Online Edition);10/16/2014, p1 

    The article offers information on the statement of Financial Conduct Authority (FCA) technical specialist Rory Percival on the dangers of hiding execution-only disclaimers. It informs that the data from the FCA's website shows that number of non-advised sales by advice firms has more than...

  • FCA branded 'deluded' over FOS and suitability letters. NORMAN, TESSA // Money Marketing;3/12/2015, Issue 1476, p26 

    The article reports that advisers allegedly accused Great Britain's Financial Conduct Authority (FCA) of being deluded over the Financial Ombudsman Service (FOS) and suitability letters. Topics covered include the statements given by FCA technical specialist Rory Percival at the Distribution...

  • Barclays tops FCA complaints data. Holt, Natalie // Money Marketing (Online Edition);4/18/2013, p29 

    The article focuses on the Financial Conduct Authority (FCA) reports that reports the highest complaints received by Barclays PLC in Great Britain. It mentions that the company received 414,302 complaints. It mentions that the Financial Ombudsman Service prepares, separate data for complaints....

  • Why advisers shouldn't put long-stops in contracts.  // Money Marketing (Online Edition);7/17/2014, p47 

    The article argues against the views on the 2014/2015 business planning of the Financial Conduct Authority concerning the introduction of a 15-year time limit for complaints to the Financial Ombudsman Service (FOS).

  • Walking a fine line. CASH, JUSTIN // Money Marketing;10/27/2016, p8 

    The article focuses on the move of financial advisers ahead of the update of the Financial Conduct Authority (FCA) on its suitability review in Great Britain. Topics discussed include the call of advisers for FCA's clarification on what it expects from suitability reports ahead of the results...


Read the Article


Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics