Financial Services Authority – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Tue, 19 Dec 2017 17:39:48 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Financial Services Authority – Investment Executive https://www.investmentexecutive.com 32 32 British review of advisor inducements results in new guidance https://www.investmentexecutive.com/news/from-the-regulators/british-review-of-advisor-inducements-results-in-new-guidance/ Thu, 16 Jan 2014 15:00:00 +0000 https://www.investmentexecutive.com/uncategorized/british-review-of-advisor-inducements-results-in-new-guidance/ Payments still being made that could result in advisory firms favouring one product provider over another

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]]> UK regulator hits Prudential with $50.8 million fine https://www.investmentexecutive.com/news/from-the-regulators/uk-regulator-hits-prudential-with-50-8-million-fine/ Wed, 27 Mar 2013 15:05:00 +0000 https://www.investmentexecutive.com/uncategorized/uk-regulator-hits-prudential-with-50-8-million-fine/ Firm failed inform FSA of bid for AIA

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]]> Britain proposes easing rules for start-up banks https://www.investmentexecutive.com/news/from-the-regulators/britain-proposes-easing-rules-for-start-up-banks/ Tue, 26 Mar 2013 15:40:00 +0000 https://www.investmentexecutive.com/uncategorized/britain-proposes-easing-rules-for-start-up-banks/ Report examines barriers to new competitors entering the banking sector

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]]> FSA finalizes reforms in wake of rate-rigging scandal https://www.investmentexecutive.com/news/from-the-regulators/fsa-finalizes-reforms-in-wake-of-rate-rigging-scandal/ Mon, 25 Mar 2013 14:15:00 +0000 https://www.investmentexecutive.com/uncategorized/fsa-finalizes-reforms-in-wake-of-rate-rigging-scandal/ Until now firms were allowed to set benchmarks without regulatory supervision

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]]> FSA mulls efforts to increase transparency https://www.investmentexecutive.com/news/from-the-regulators/fsa-mulls-efforts-to-increase-transparency/ Mon, 04 Mar 2013 15:00:00 +0000 https://www.investmentexecutive.com/uncategorized/fsa-mulls-efforts-to-increase-transparency/ Increased disclosure would improve regulatory accountability and help consumers make more informed decisions

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]]> Head of UK prudential regulator appointed https://www.investmentexecutive.com/news/from-the-regulators/head-of-uk-prudential-regulator-appointed/ Tue, 19 Feb 2013 17:15:00 +0000 https://www.investmentexecutive.com/uncategorized/head-of-uk-prudential-regulator-appointed/ Andrew Bailey name CEO of new Prudential Regulation Authority

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]]> FSA review uncovers poor financial advice https://www.investmentexecutive.com/news/from-the-regulators/fsa-review-uncovers-poor-financial-advice/ Wed, 13 Feb 2013 14:45:00 +0000 https://www.investmentexecutive.com/uncategorized/fsa-review-uncovers-poor-financial-advice/ Mystery shopping gathers first-hand evidence of what some UK investors might experience

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]]> UK banks to review sales of interest rate hedging products https://www.investmentexecutive.com/news/from-the-regulators/uk-banks-to-review-sales-of-interest-rate-hedging-products/ Thu, 31 Jan 2013 16:05:00 +0000 https://www.investmentexecutive.com/uncategorized/uk-banks-to-review-sales-of-interest-rate-hedging-products/ FSA concerned about suitability of sales to unsophisticated investors

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]]> UK tribunal upholds $12.8 million Swift Trade FSA fine https://www.investmentexecutive.com/news/from-the-regulators/uk-tribunal-upholds-12-8-million-swift-trade-fsa-fine/ Mon, 28 Jan 2013 14:50:00 +0000 https://www.investmentexecutive.com/uncategorized/uk-tribunal-upholds-12-8-million-swift-trade-fsa-fine/ Layering activity constituted “market abuse”

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]]> FSA issues guidance on sales incentives https://www.investmentexecutive.com/news/from-the-regulators/fsa-issues-guidance-on-sales-incentives/ Wed, 16 Jan 2013 15:20:00 +0000 https://www.investmentexecutive.com/uncategorized/fsa-issues-guidance-on-sales-incentives/ The goal is to help firms avoid incentives that drive mis-selling

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