Fsa Compliance News

Mortgage Updates

Our regular Update Newsletter is sent to all of our customers who advise specifically on Mortgage related products. All articles are based around important FSA guidance so that firms can keep up to date with the set requirements.

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2011 :
2012

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MI11/03 - The Financial Services Authority have recently published a Final Notice stating they have fined a Mortgage Broker £106,499 and cancelled his permissions for breaching Principle 1.
Date: 17.08.2011

MI11/02 - Firms who advise/sell protection products and received a letter from the FSA must respond to them as soon a possible, confirming that they have completed a review of ICOBS and their sales policies and procedures meet their requirements.
Date: 08.02.2011

MI11/01 - The FSA have announced they will be deferring extending the Approved Persons Regime to include anyone who advises or sells mortgages until 2012/2013.
Date: 06.01.2011

Mortgage Updates

MI11/03 - The Financial Services Authority have recently published a Final Notice stating they have fined a Mortgage Broker £106,499 and cancelled his permissions for breaching Principle 1.Date: 17.08.2011

MI11/02 - Firms who advise/sell protection products and received a letter from the FSA must respond to them as soon a possible, confirming that they have completed a review of ICOBS and their sales policies and procedures meet their requirements.Date: 08.02.2011

MI11/01 - The FSA have announced they will be deferring extending the Approved Persons Regime to include anyone who advises or sells mortgages until 2012/2013.Date: 06.01.2011

Latest News

MI11/03 - The Financial Services Authority have recently published a Final Notice stating they have fined a Mortgage Broker £106,499 and cancelled his permissions for breaching Principle 1.
Date: 17.08.2011

MI11/02 - Firms who advise/sell protection products and received a letter from the FSA must respond to them as soon a possible, confirming that they have completed a review of ICOBS and their sales policies and procedures meet their requirements.
Date: 08.02.2011

MI11/01 - The FSA have announced they will be deferring extending the Approved Persons Regime to include anyone who advises or sells mortgages until 2012/2013.
Date: 06.01.2011