Investment Advice Platforms Fsa

Chrysler Announces Lifetime Powertrain Warranty
With brake and transmission problems on their truck based platforms and engine and transmission I’ve seen businesses discard an “unprofitable” division because it wasn’t returning the return on investment that it should have Buying Advice; Help For Car Buyers; Advice for ... Read Article

Compliance News FOR IFA - Financial Services Jobs & Careers ...
- Summary of FSA Review of Investment Advice & Platforms - Complaints handling – annual test for staff - Data Security – summary on a page - Data Security staff declaration Why not email compliance@ifahelpline.co.uk and receive it direct to your PC? ... Content Retrieval

Consumer Panel Position Paper Delivering The RDR: Platforms
Investors to buy, sell, administer and monitor investment portfolios. Platforms are developing rapidly, and other product providers to give rebates to platforms. The FSA’s proposals administration and advice ... Access Content

Financial Services Authority - Wikipedia, The Free Encyclopedia
The Financial Services Authority of wrap account - incumbent fund supermarkets and Life Asurance Companies are in response launching their own Wrap Platforms. The FSA is also provided with advice on the interests and concerns of consumers by the Financial Services Consumer Panel. ... Read Article

Application Of The RDR To The Asset Management Sector
And trust at a time where they need more help and advice with retirement and investment planning. The RDR aims to ensure that consumers: Set out below are some of the latest publications relating to the FSA’s platforms proposals: ... Retrieve Doc

Banking And Capital Markets Insight - Deloitte | Audit ...
Providers and platforms. The FSA has conducted almost four years of market analysis, and exploding the myth that investment advice is free. It is vital that consumers know not only the cost of financial advice, but also its value. There is ... Return Document

Markets In Financial Instruments Directive - Wikipedia, The ...
That said, the appropriateness of any investment advice or suggested financial transaction must still be verified before being given. The Financial Services Authority (FSA) is responsible for the regulation of the securities industry in the United Kingdom. ... Read Article

Investment Propositions
FSA Investment propositions . Head Office Abbey Gardens, Abbey Street, Reading, Berkshire RG1 3BA has your firm completed a review of the advice given regarding the platforms and centralised investment proposition issues outlined in this document? ... Retrieve Full Source

Helping You To Prepare Your Business For Change Prudential ...
The FSA believes platforms should administer adviser charging to the same standards as required by product providers. Importantly, this includes the in association with investment advice will be required to adhere to the adviser charging regulations! Protection can be written under COBS or ... Access This Document

The FSA's Retail Distribuation Review
Restricted advice retail investment FSA's aversion to continuation of trail commission. (Indeed some potential consequences for distribution via platforms are as yet unknown because the final provisions for platforms have yet to be determined.) ... Visit Document

FSA Policy Statement 10/6 Delivering The RDR: Feedback To ...
Which will involve all firms that give investment advice to retail clients setting their in investment markets and so the FSA has published a Consultation Paper wrap platforms and fund supermarkets are regulated. The majority of responses were in favour of change and so the FSA has ... Return Doc

Retail Distribution Review - Cognizant | Consulting ...
Modern contract platforms will be needed to support speed to market with simpler investment advice, without customers having Figure 2 describes the four main types of advice channels recommended by FSA. RDR’s Financial Implications ... Retrieve Full Source

FSA March 2010 RDR Papers: Delivering The RDR, Platforms And ...
Out the FSA’s final decisions on retail investment advice including describing and disclosing advice services, remuneration, FSA supervision strategy With respect to advice on platforms, the FSA is of the view that only multiple platforms (ie ... Access Doc

The FSA’s Retail Distribution Review: Good News For ...
The FSA’s Retail Distribution Review: Advice to cover an expanded range of 'retail investment products' than the current packaged products, (or Irish or Luxembourg regulator) authorised, and the general lack of availability of investment trusts on fund platforms. ... Fetch Content

Compliance News FOR IFA - Financial Services Jobs & Careers ...
FSA Review of Investment Advice & Platforms Structured Product test Data Security Summary on a page Mortgage test Data Security Staff Declaration IFA test Why not email compliance@ifahelpline.co.uk and receive it direct to your PC? ... Retrieve Document

Responding To The Retail Distribution Review Shaking Up ...
To further FSA consultation. † Investment platforms will need to support easy re-registration and require a platform to disclose to † An advice gap is set to open up in the mass market and lower mass affluent customer segments. It simply ... Get Doc

The Financial Supervision Commission
This paper this is restricted to UK FSA Regulated Trading Platforms (“RP”). independent advice on the suitability of this investment within my/our overall investment portfolio; and (e) I/we personally accept all the risks associated with this ... Visit Document

The RDR: Is The Wealth Management Industry Ready?
The Financial Services Authority launched the Retail Distribution Review (RDR) Delivering the RDR and other issues for platforms and nominee-related services, FSA, 17 November 2010, The RDR is targeting any firm that provides investment advice to retail ... Doc Retrieval

Distribution And Advice In A Post-RDR World
FSA 16 September 2009. 2 What I will cover investment trusts) Giving independent advice. 6 • Regulating platforms and their charges – Conducting a review of whether detailed requirements would now be appropriate for the platforms market ... Fetch This Document

Wrap Account - Wikipedia, The Free Encyclopedia
This type of service is what is also known as an investment platform or financial being undertaken by the FSA in the UK more investors are likely to move their investments onto Wrap usually with the advice of a financial adviser - to select from an extensive range of UK and ... Read Article

POSITION PAPER NO. 1 2011 On The Review Of Financial Advice
The FSA means the United Kingdom’s Financial Services Authority the FS(J)L means the Financial the Commission shares the concerns of the FSA with respect to the investment advice industry 8.2 Platforms 8.2.1 The FSA recognises that platforms15 will continue to play an ... Fetch Here

investment platforms 2011 - Investment, Pensions And ...
© Arch Financial Planning Limited – Investment Platforms 2011.04 – Page 1 advice could be compromised if we did not outsource the AUTHORISED AND REGULATED BY THE FINANCIAL SERVICES AUTHORITY. Title: Microsoft Word - investment platforms 2011.04 ... View Document

A Thematic Review on Investment Advice and Platforms that took place in 2009 and reported in March. The present discussion paper DP10/2 on platforms explores: With respect to advice on platforms, the FSA is of the view that only multiple platforms (ie ... View This Document

Nominee-related Services. - Investment Management Association ...
Financial Services Authority 25 The North Colonnade Canary Wharf LONDON E14 5HS . to retail clients across all retail investment products when advice is being provided? In the case of investment funds and platforms, the only mechanism open to them will be the ... View Doc