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 |
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
"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
"The disastrous search for cautious investments: quasi-cash funds and structured products", Compliance Monitor, June 2009
"Lehman Brothers, structured products and wider implications",
Complinet May 13 2009
"The McCance and Penn final notices: bad advice and investment bonds", Complinet 9 April 2009
"The Pacific Continental Securities final notices: picking up the pieces", Complinet 6 February 2009
"The Legacy final notice: picking on the weak or a real legacy?",
Complinet 27 January 2009
"RDRessed", Compliance Monitor December 2008/January 2009
"RDRessed", Compliance Monitor, December 2008/January 2009
"FS08/6, the RDR : an analysis" Complinet 26 November 2008
"Taking items off the menu", Financial Adviser 4 September 2008
"Abbey's attempt to wriggle off the precipice bond hook fails: happily", Complinet 6 August 2008
"More fallout from the Square Mile disaster", Complinet 14 July 2008
"The Retail Distribution Review: Interim Report and FS 08/2 - perhaps the most extraordinary u-turns in regulatory history", Compliance Monitor May 2008
"The FSA's retail distribution review interim report", Complinet 30 April 2008
"FSA accepts lack of linkage between capital and mis-selling",
Complinet 30 April 2008
"Adam Samuel answers his own RDR interim report questions",
Money Marketing 7 May 2008
"The FSA's retail distribution review interim report", Complinet, 30 April 2008
"FSA accepts lack of linkage between capital and mis-selling",
Complinet, 30 April 2008
"Small cap mis-selling - from Square Mile to Mansion House",
Complinet, 8 April 2008
"Advice fundamentals", Money Marketing, 3 April 2008
