Writing
Approved Persons
Complaints | Treating Customers Fairly | Financial Promotions |
Financial Advice and the Sales Process | Banking | General Insurance |
Mortgages | Market Abuse and Money Laundering | Investment Management and Wholesale and wholesale | Approved Persons | Corporate Management | Regulation Generally | Ethics | Pensions Review | Other Topics and Older Pieces |
Back to writing.
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
"The masks have fallen" (RBS report), Financial Adviser 6 January 2011
"Tribunal and fit and proper Panesar give FSA bloody nose on shadow directorships and Long Form A", Complinet, 1 November 2010
"CP08/25: the extension of the approved persons regime before FSA has managed to make the existing one work", Complinet 6 January 2009
"The Tribunal Fryett case and 'involved' or 'knowingly concerned'",
Complinet 26 November 2008
"Recent final notices and personal responsibility", Complinet 10 November 2008
"Approved persons and the BPS prohibition orders", Complinet, 8 September 2008
"PMSG and the removal of compliance officers for incompetence",
Complinet 25 July 2008
"Four final notices, prohibition orders and complaints problems",
Complinet 23 July 2008
"FSA receives a minor bloody nose from the FSMT on fit and proper",
Complinet 9 May 2008
"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
