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Risk Management Industry News for FCA Regulated Businesses

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Financial Services, PPI

Financial services failings prompts rise in Ombudsman complaints

Financial services firms across the board should be questioning their commitment to customer care following a rise in complaints made to the Financial Ombudsman Service (FOS). In the last financial year, some 388,000 new

FOS complaints were made, up...

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FCA, Financial Services

How London Capital & Finance misled investors

The recent collapse of London Capital & Finance (LCF) acts as a sharp reminder that, where investments are concerned, there needs to be absolute clarity as to the nature of what is being sold as well as who the provider is.

Of course, the fact the ...

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Financial Services, Compliance

Is Standard Chartered on the road to recovery?

Standard Chartered recently released its latest quarterly results, which show it is on course to deliver its key target to shareholders, with its share price rising by over 6% as a result.

Many shareholders will have been relieved as for many months;...

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Financial Services

Financial Ombudsman Service gains new powers

The Financial Ombudsman Service (FOS) can now hit firms with orders to pay higher levels of compensation and is also now accepting complaints from a wider group of SMEs. This should act as a stark warning – if customers are unhappy, then their...

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Risk Management, FSA, Blog, Financial Services

5 Risk Management Objectives: The FSA’s final annual report

The Financial Services Authority’s final annual report is published, the ‘twin peaks’ model is praised and the FSA’s key objectives are evaluated

The FSA have recently published their 2011-2012 annual report that will be their last in their current...

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Risk Management, Blog, Basel 3, Financial Services

Basel 3: A Risk Management Update

12th September 2010 saw the announcement of the new levels of capital reserves for Basel 3, the capital and liquidity package first proposed in December 2009. Basel 3 is a new regulation with the aim of preventing a repeat of the collapse in the...

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