U.K.'s FSA Mandates Fee Unbundling
- FSA SEEKS REVAMP OF SOFT COMMISSION, BUNDLED ARRANGEMENTS. // Securities Industry News;4/28/2003, Vol. 15 Issue 17, p3
The Great Britain Financial Services Authority in April 2003 published a consultation paper on bundled brokerage and soft commission arrangements. The Great Britain regulator issued several recommendations for reducing costs related to soft commission services including market data and boosting...
- BROKER 'Talkback'. // Money Marketing;10/30/2003, p36
Presents opinions from brokers regarding the British Financial Services Authority's (FSA) decision not to vet structured product marketing literature before it goes live despite originally intending to do so. Arguments presented by the brokers who support the decision of the FSA.
- Help networks to help smaller firms. Tomlinson, Justine // Mortgage Strategy;3/12/2007, p73
The author reflects on the reaction of small brokers to the Financial Service Authority's (FSA) Treating Customers Fairly (TCF) initiative in Great Britain. She argues that the deadline for introducing the TCF is unfounded. She cites the survey conducted which showed the unawareness of small...
- Brokers have to give practical reasons for a reduction in fees. // Mortgage Strategy;6/11/2012, p016
The article offers the author's insights regarding the need to provide practical reasons for a reduction in Great Britain's Financial Services Authority (FSA) fees. The author mentions that there should be an association between the FSA's budget and staffing numbers to number of advisers they...
- BROKER TALKBACK. // Money Marketing;2/23/2006, p42
This article presents the views and insights of brokers over the issue if whether or not the Financial Services Authority force lenders, which have sold inappropriate payment protection insurance, to pay out on genuine claims.
- Pressure points for M-Day. // Money Marketing;10/28/2004, p41
Focuses on the importance of key facts illustrations, pressure on sourcing systems and new broker networks for compliance with the Financial Services Authority in Great Britain.
- Promotion commotion. Anker, Guy // Money Marketing;1/12/2006, p15
The article looks into the dilemma and confusion on how stockbrokers promote mortgages and concerns of the Financial Services Authority (FSA) in Great Britain. The FSA has voiced its concerns regarding the intermediaries that are not sticking to the guidelines on what they can divulge in...
- FSA focus will shift to enforcement. Warren, Bill // Mortgage Strategy;7/24/2006, p58
The article reflect on Great Britain Financial Services Authority's (FSA) annual report for 2005-2006. The author outlines the contents of the report. He points out that the FSA reports indicates that it regards the firs year of regulation as a learning period but next year's report is more...
- FSA finalises plans for 'flexible' exam switch. // Money Marketing;4/8/2004, p9
Reports that the British Financial Services Authority (FSA) has finalized proposals to move from approved to appropriate exams, saying the change will lead to a greater flexibility for firms in deciding which exams staff should take to be deemed competent. Memorandum of understanding between...