Treating customers fairly (tcf)
FSA releases final guidance on retail structured products and does not...
Published online only
Source: Structured Products
Though little has changed since the FSA published draft guidance on structured products towards the end of last year, the newly released formal guidance contains an additional steer on the subject of stress...
Published online only
Source: Operational Risk & Regulation
Rather than rushing to increase regulation and potentially creating compliance costs and regulatory risks, authorities should be getting involved at the ground level to improve supervision, says Lars...
Original headline:
Source: Operational Risk & Regulation
Recent high-profile convictions mark success for regulators’ increased market surveillance efforts, and this greater emphasis on oversight means firms are having to reassess their own monitoring systems...
Worried about regulation?
Read in-depth analysis of top regulatory issues today!
Find the information you need in articles from across Risk.net on Basel III, the Dodd-Frank Act, and Solvency II.
More Treating customers fairly (tcf) articles
FSA fines pension-switching services £143,500 over bad advice
Published online only
Source: Operational Risk & Regulation
Customers were told to switch pensions regardless of situation or requirements, says regulator
Dodd-Frank: consumer protection regulator to increase retail op risk...
Published online only
Source: Operational Risk & Regulation
The planned Consumer Financial Protection Bureau could drive US focus on treating customers fairly for retail banking and credit products
FSA fines Tenon over structured products; more firms to follow
Published online only
Source: Operational Risk & Regulation
The UK’s Financial Services Authority (FSA) has fined RSM Tenon Financial Services (Tenon) £700,000 for “significant failings” in its advice and sales processes regarding Lehman-backed structured products, and for lacking sufficient systems and...
FSA censures Park Row Associates with £7.8m bill over misadvised customers...
Published online only
Source: Operational Risk & Regulation
The Financial Services Authority (FSA) has publicly censured Park Row Associates, a network of UK independent financial advisers, and agreed a customer redress settlement with the firm of between £5 million and £7.8 million. Park Row’s chief...
Two UK mortgage brokers banned over TCF failures
Published online only
Source: Operational Risk & Regulation
The UK Financial Services Authority (FSA) has banned two mortgage brokers in separate cases only weeks apart for failing to treat customers fairly (TCF). Aaron Nickols was banned from selling mortgage and general insurance products, after he used...
FSA bans broker for high-pressure sales techniques, systems and controls...
Published online only
Source: Operational Risk & Regulation
The Financial Services Authority (FSA) has banned a trader from selling mortgage and general insurance products, after he used high-pressure sales techniques and failed to monitor staff adequately to ensure clients were treated fairly. The FSA says...
£2.8M TCF penalty to GMAC-RFC
Published online only
Source: Operational Risk & Regulation
LONDON – The Financial Services Authority (FSA) has fined GMAC-RFC £2.8 million for unfairly treating customers over mortgage arrears and repossessions. The UK regulator says it is the first of several cases being investigated, and that it intends...
Forgot your Risk.net password?
Renew your password now!
Make sure you don't miss a day of Risk.net's essential content. Refresh your password today online!
Related conferences
-
Risk & Return Brasil
Brazil, 30th May 2012
-
Risk & Return Brazil
Brazil, 30th May 2012
-
CRO Forum Asia 2012
Singapore, 30th - 31st May 2012
-
FX Week China 2012 - CN
China, 12th Jun 2012
-
Risk & Return Canada
Canada, 20th Jun 2012
Related training
-
Nexus-Risk Training
USA, 26th Oct 2012
-
Operational Risk Management for Energy Companies
UK, 29th - 30th May 2012
-
CVA & DVA risk and return strategies
UK, 18th Jun 2012
-
Central Clearing in Canada: 2012 and Beyond
Canada, 22nd Jun 2012
-
CVA & DVA risk and return strategies
USA, 22nd Jun 2012
Updating your subscription status 
Email alerts
Weekly poll
Technology white papers
Related Jobs
