Financial Services Authority Duty of Care

The Financial Services Authority is an independent financial regulatory body within the United Kingdom. The FSA establishes standards for most financial services markets, exchanges, and firms and pursues legal... more +
The Financial Services Authority is an independent financial regulatory body within the United Kingdom. The FSA establishes standards for most financial services markets, exchanges, and firms and pursues legal action against parties failing to comply with those standards.   less -
News & Analysis as of

FSA’s Administrative Sanctions on Investment Managers and a Trust Bank

On October 16, 2012, the Financial Services Agency of Japan (the “FSA”) announced administrative sanctions against an investment manager (a two month business suspension order and a business improvement order) and a trust...more

FSA Fines IFA Network Firm in Relation to Misselling of High Risk Products

The FSA has published a final notice (dated September 18) issued to Pi Financial Limited, an IFA network firm. The notice imposed a fine of £58,300 for failures in relation to systemic weaknesses in Pi’s systems and controls,...more

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