22nd September 2011

Foot Anstey News

Re-deployment risks

Key issues for firms when advisers leave (and join!) and how to protect your business.

It is not unusual during times of economic turbulence for people to move jobs. There are restructurings, consolidations, lateral hires and start-ups all happening at the same time. In the financial services sector we also have to throw RDR into the mix.

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You may not like the fsa but...

A recent Tribunal decision ( has demonstrated the dangers of tweaking their tail too firmly.

A spectacular example of not co-operating with the FSA and engaging in what may (albeit unintentionally) have amounted to “FSA baiting” which has ended in disastrous consequences for the firm in question.

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Non-advising staff and the cf30 function

 

Should your para-planners or other non-advising staff hold the CF30 Customer Function?

With the increasing use of paraplanners and other non-advising staff, particularly by more sophisticated firms, the FSA Rules on who should hold the customer function bear some closer examination.

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