Writing
Financial Advice and Sales Process
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 |
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 Financial Advice and Sales Process please download
the pdf
"The FSA Guidance Consultation on Simplified Advice – it never was going to work:" Compliance Resource Network 22 September 2011
"The FSA stumbling on platform regulation, PS 11/10" Compliance Resource Network 5 August 2011
"Of investment compliance and UCIS again – the Best Advice and A2O Final Notices", Compliance Resource Network 25 July 2011
"The Arch Cru offer to investors from Capita, Bank of New York and HSBC", Complinet 22 June 2011
"The Sinclair fine and prohibition – of client accounts, complaints, corporate advice, cold calling the general prohibitions and boiler rooms", Compliance Resource Network 21 June 2011
"Why transparency is clearly best", Compliance Monitor, June 2011
"Preventing pathological products", Compliance Monitor, May 2011
"Pushing the wrong buttons" (N&P fine for unsuitable Keydata advice), Financial Adviser 12 May 2011
"The N&P fine, another black moment for deposit institutions in the investment market, mixed in with some Keydata", Compliance Resource Network 21 April 2011
"The FSA on the unregulated collective investment scheme and GTEPS warpath again", Compliance Resource Network 19 April 2011
"FSA fines N&P £1.4m for suitability failings in the sale of Keydata structured products", Complinet 19 April 2011
"Disclosure laid bare", Compliance Monitor, March 2011
"Barclays and Clark Rees Final Notices – two different but similar views of investment suitability and promotions", Compliance Resource Network 24 January 2011
"Unsuitable advice — the FSA's guidance consultation: Assessing suitability", Complinet 13 January 2011
"CP 10/29 Wraps, Platforms and the RDR", Compliance Resource Network 30 November 2010
"Selling investments in Hong Kong and the SFC Code – the big issues", Compliance Resource Network 3 November 2010
"Selling investments in Hong Kong and the SFC Code - the big issues", Wolters Kluwer, 3 November 2010
"CP 10/14 Professionalism and the RDR - a step backwards?", Wolters Kluwer, 7 July 2010
"The RDR and all that", Compliance Monitor, May 2010
"GTEPs, Provider and IFA responsibilities and the Integrity Final Notice", Wolters Kluwer, 18 May 2010
"PS10/6: the RDR main paper - some further thoughts" Complinet 8 April 2010
"The RDR and wrap platforms" Complinet 7 April 2010
"From NDFA to Tenon: a voyage through structured products" Complinet 2 March 2010
" The AIG Enhanced Fund affair" Complinet 19 Feb 2010
"Could do better: professional standards and the RDR" Compliance Monitor February 2010
"Taking a punt" Financial Adviser 3 December 2009
"Independence day", Compliance Monitor, July/August 2009
