Writing

Approved Persons

Complaints | Treating Customers Fairly | Financial Promotions
Financial Advice and The Sales Process | General Insurance | Mortgages
Market Abuse and Money Laundering | Investment Management
Approved Persons | Corporate Management
Regulation Generally | Ethics | Pensions Review
Other Topics and Older Pieces

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If you would like to obtain any of the following publications please contact Adam.

For a complete list of all articles on Approved Persons please download the pdf

"McIntosh - another unfit and improper decision with a nasty tribunal sting for FSA", Complinet 31 January 2008
"The tribunal upholds one FSA decision, reverses another on "fit and proper" Complinet 3 January 2008
"FSA's latest batch of prohibition orders for obvious sinners", Complinet 20 December 2007
"The Piggott case - the tribunal brings you high jinks and impropriety" Complinet 24 January 2007
"Byrne banned for fake reinsurance transactions" Complinet 21 July 2006
"The Manchanda case - FSA loses another tribunal to Mackie and 'the facts'" Complinet 12 July 2006
"The Sodha case, complaints and fitness and propriety" Complinet, 16 June 2006
"FSA was right to refuse Eversure's authorisation application" Complinet 30 May 2006
"Elliott v the FSA- a case of unfit and definitely improper" Complinet 5 April 2006
"The Financial Services and Markets Tribunal - telling it like it is" Complinet 20 February 2006
"Goshawk fined for not supervising its binding authorities... and much worse" Compliance Online, 17 October 2005
"The FSA bans IFA for lying on pension review returns" Compliance Online, 29 December 2004
"Blind-siding the regulator over underwriting limits generates a L20,000 fine for the Chief Executive" 29 November 2004