TITLE

Principal principles

PUB. DATE
August 2009
SOURCE
Money Marketing;8/20/2009, p22
SOURCE TYPE
Periodical
DOC. TYPE
Opinion
ABSTRACT
In this article, the author discusses the role of the Financial Services Authority (FSA) to monitor the initial vetting and ongoing monitoring of the AR's activities in Great Britain. She states that the FSA must recognise that there will be occasional instance where the relationship will not work as required. She adds that the FSA would do their best to adopt a more balanced and carefully considered approach for the growth and profitability for the business and the industry.
ACCESSION #
44210965

 

Related Articles

  • FSA to consult on lowering investment projection rates. Langston, Rob // Fundweb;5/31/2012, p12 

    The article reports that Great Britain Financial Services Authority (FSA) will consult on methods to ensure investors receive a realistic indication of potential future returns and charges from providers. The regulator has made the move after finding that providers fail to comply with current...

  • FSA set to extend probe into multi-manager advice. McMillan, Paul // Money Marketing;11/22/2007, p92 

    The article reports that the Financial Services Authority (FSA) may carry more investigations into multi-manager advice after it found insufficient adviser understanding of funds and the effect of charges on performance in Great Britain. "Money Marketing" revealed in a report published in August...

  • Insurers still struggling on GI regulation. McMillan, Paul // Money Marketing;8/11/2005, p12 

    This article reports that six months after regulation was introduced, many insurers are finding it tough to adapt to the rules and are worried about implementing the Financial Services Authority in Great Britain's regulatory objectives. Research conducted by claims compliance consultancy...

  • FSA: New FSCS claims limit will wipe out 30% of advisers' profits. Holt, Natalie // Money Marketing (Online Edition);1/18/2013, p1 

    The article presents a consultation paper of the Financial Services Authority (FSA) to review the Financial Services Compensation Scheme (FSCS) annual claims in Great Britain in 2013. The FSA affirmed plans to raise the annual claims limit paid by investment advisers to 150 million pounds from...

  • FSA set to enforce 'cost-only' rules on provider service payments. Selby, Tom // Fundweb;3/21/2013, p17 

    The article reports on the cost-only rules to be enforced by the Financial Services Authority (FSA) on provider service payments in Great Britain. It notes that the regulator is set to enforce cost-only rules on any payments for financial adviser training, conferences, and seminars and plans to...

  • WP firms must reveal data. Tryphonides, Andrea // Money Marketing;3/30/2006, p1 

    The article reports that the Great Britain Financial Services Authority is set to require with-profits providers to disclose payout and MVR data in their returns and make this information available to the public. It further reports that this will allow policyholders and advisers to perform clear...

  • Brace yourself for nasty surprises.  // Money Marketing;10/14/2004, p45 

    Comments on the issues regarding the British Financial Services Authority's (FSA)Financial Services Compensation Scheme. Willingness by the FSA to hear alternative suggestions to the program; Confirmation from the financial services industry of the unsatisfactory processes of the current system...

  • Cash on delivery. Speedy, Sonia // Money Marketing;7/22/2004, p42 

    Reports on the British Financial Services Authority's (FSA) regulation against inducement payments. Warning of the FSA for intermediary chief executives and product providers; Product providers' payment of high prices for services form intermediaries; Consideration of the margin of profits in...

  • A crucial test for Standard and FSA.  // Money Marketing;1/15/2004, p31 

    Focuses on the effects of the actions of the Financial Services Authority on Standard Life company in Great Britain. Problems of solvency of the company; Prevention for the company from including future profits and subordinated debts; Option that is being considered by the board of the company.

Share

Read the Article

Courtesy of THE LIBRARY OF VIRGINIA

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

Try another library?
Sign out of this library

Other Topics